Compliance Analysis
The SEC on Cybersecurity
Review your policies and procedures—it’s a fiduciary duty
You Might Also Like:
SEC Approves FINRA Marketing Rule Allowing Projected Investment Performance, Targeted Returns
The new rule could accelerate the use of projected-return and retirement-income illustrations by broker/dealers.
SEC Requests Final Judgment Against WAMCO Exec in Cherry-Picking Case
If the court approves, Ken Leech will have to pay a $3 million penalty.
SEC Proposes Amendments to Broaden Retail Access to Alts
The Securities and Exchange Commission seeks to broaden the qualifications for accredited investors, which the chairman said will ‘complement’ the...

