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Securities & Exchange Commission of the United States

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US SEC Fines 12 Firms Over Employee Messaging

by Starling Insights

Observations

Jan 22, 2025

Last week, the US Securities and Exchange Commission (SEC) announced civil penalties of $63 Million against 12 firms, including investment advisers and broker-dealers, for employee use of unauthorized messaging apps.

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The 2024 Compendium is available June 11th!

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The US SEC's Focus on Audit Firm Culture

by Starling Insights

Observations

Dec 20, 2023

In a recent interview with the Wall Street Journal, Paul Munter, Chief Accountant at the US Securities and Exchange Commission (SEC), explained the regulator's focus on the culture of audit firms and how it can drive audit quality and conduct outcomes.