If this were a boxing match, the SEC would be left bloodied—in a contest over the Commission’s proposed mutual fund liquidity risk and swing pricing ...
While the impact of the failures of Silicon Valley and Signature banks on the larger economy remains uncertain, pain has trickled down upon the banks’ ...
A peer shares an example of the firm's conflicts questionnaire, issued to staff annually as a way for compliance to spot new potential conflicts of ...
Given cyber breaches, "we must do everything in our power to enhance cybersecurity practices by market participants and to protect investors’ sensitive personal information"
"When personal information or assets are stolen, the results can be calamitous. It can lead to identity theft, stolen savings, ruined credit, and other effects ...
"Recent recordkeeping charges settled by Morgan Stanley Smith Barney speak to how important it is that market participants properly safeguard customer information"