Laura Bennett

Laura Bennett

King & Spalding

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Recent SEC Enforcement Actions Reinforce the Importance of Effective Supervision, Policies, and Procedures for Broker-Dealers and...

A summer of Securities and Exchange Commission settlements involving registered broker-dealers and investment advisers demonstrates that the SEC remains firmly committed to regulating the conduct of these firms. These...more

10/18/2018  /  Broker-Dealer , Enforcement Actions , Financial Institutions , Investment Adviser , Securities and Exchange Commission (SEC)
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