The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert on December 14, 2018 concerning the use of electronic messaging by registered...more
1/25/2019
/ Books & Records ,
Bring Your Own Device (BYOD) ,
Commercial Electronic Messages ,
Compliance ,
Data Security ,
Electronic Communications ,
Employee Training ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
OCIE ,
Policies and Procedures ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Supervision ,
Third-Party
The New York Attorney General released a report on September 18, 2018 on the results of the Virtual Markets Integrity Initiative, which was launched earlier in the year by the New York State Office of the Attorney General...more
10/10/2018
/ Abusive Acts ,
Conflicts of Interest ,
Contractual Safeguards ,
Crypto Exchanges ,
Cryptocurrency ,
Data Security ,
Disclosure Requirements ,
Fees ,
Integrity Policies ,
Investor Protection ,
Market Abuse ,
Money Laundering ,
State Attorneys General ,
Trade Suspensions ,
Trading Platforms ,
Trading Policies ,
Transparency ,
Virtual Currency ,
Virtual Private Networks