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Seward & Kissel LLP

Wealth Management Firm Charged with Reg S-P Violations for Failing to Properly Dispose of its Hard Drives

Seward & Kissel LLP on

On September 20th, 2022, the Securities and Exchange Commission (“Commission”) entered a settled order (“Order”) against the wealth management arm of a global financial services firm (“Firm”) for its failure to protect...more

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