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The SEC Fines Stand-Alone Adviser For Off-Channel Communications - Securities

On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve certain electronic communications. ....

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Update on SEC Fining Investment Adviser for Recordkeeping Failure

Update on SEC Fining Investment Adviser for Recordkeeping Failure
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