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April 26, 2023
The SEC’s Enforcement Division is conducting a sweep investigation of large investment advisers regarding their employees’ use of “off-channel” communications. The sweep, which has...
April 26, 2023
SEC Enforcement Division is conducting sweep investigation of large investment advisers over employees’ use of off-channel communications. Sweep focuses on text messages from personal phones, personal email, WhatsApp, other platforms not typically monitored by advisers.
December 27, 2021
Under the current recordkeeping requirement for broker-dealers, set forth in SEC Rule 17a-4, broker-dealers may retain records in paper format or electronically.
October 1, 2021
Key Wireless DeadlinesUpcoming Meetings and EventsDid You Know?Recent Wiley Client Alerts, Blog Posts, and Podcasts CISA Seeks Comment on its Zero Trust Maturity Model: The...
May 26, 2021
On March 1, 2021, the White House Office of Management and Budget received for review under Executive Order 12866 from the EPA a proposed rule entitled Reporting and Recordkeeping for Perfluoroalkyl or Polyfluoroalkyl Substances Under Section 8(a)(7) of the TSCA.
May 26, 2021
On March 1, 2021, the White House Office of Management and Budget (OMB) received for review under Executive Order 12866 (Regulatory Planning and Review) from the U.S. Environmental...