Debevoise & Plimpton Discusses The SEC's Most Recent Reg S-P Enforcement Action - Securities
On September 20, 2022, the SEC announced settled charges and the imposition of a $35 million penalty against a dually registered investment adviser and broker-dealer (the "Firm") for violations of Regulation S-P ("Reg S-P").
New York United States Gurbir Grewal Given The Commission Firm Data Decommissioning Failures Regulations P
Source: mondaq.com