Observations
Oct 07, 2024The US Securities and Exchange Commission (SEC) recently fined 12 firms a total of $88.3 million for failing to maintain and preserve electronic communications.
Observations
Nov 03, 2023In a speech delivered to the New York City Bar Association, Gurbir S. Grewal, the Director of the Division of Enforcement for the U.S. Securities and Exchange Commission (SEC), discussed declining public trust in institutions and how it affects the financial sector.
