U.S. Regulatory Update

4 October 2022 Highlights SEC and CFTC Charge Financial Institutions with Widespread Recordkeeping Failures in Off-Channel Communications On 27 September, the SEC charged 15 broker-dealers and one affiliated investment adviser for failing to maintain and preserve...

U.S. Regulatory Update

27 September 2022                                                                Securities and Exchange Commission  SEC Investor Advisory Committee Holds Meeting Discussing Four Panels and Three Recommendations On 21 September, the SEC Investor Advisory Committee...