The Power of Lawyer Letters
Consumer Finance Monitor Podcast Episode: A Deep Dive into Mass Mailings by Debt Relief Law Firms
On January 13, 2025, the U.S. Securities and Exchange Commission announced settled enforcement actions with five registered investment advisers for failing to maintain and preserve internal electronic communications. These...more
Who may be interested: Registered Investment Companies. Quick Take: The SEC recently settled charges against two credit rating agencies for alleged violations relating to recordkeeping, disclosure and internal controls....more