Text messaging is convenient. It is an informal and instant mode of communication now available through numerous apps, which allow an individual to use their synced phone, tablet, and computer to quickly fire off messages. ...more
10/12/2022
/ Broker-Dealer ,
CFTC ,
Compliance ,
Confidential Communications ,
Department of Justice (DOJ) ,
Electronic Communications ,
Enforcement ,
Financial Institutions ,
Foreign Corrupt Practices Act (FCPA) ,
Penalties ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Texting
On August 12, 2020, the SEC Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert that identifies potential issues related to the COVID-19 pandemic for SEC-registered investment advisers and...more
9/16/2020
/ Broker-Dealer ,
Business Continuity Plans ,
Business Operations ,
Compliance ,
Coronavirus/COVID-19 ,
Data Protection ,
Fees ,
Investment Adviser ,
Investment Fraud ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Popular ,
Remote Working ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Supervision