SEC Commissioner votes for B-D e-records changes

"Some commenters suggested that the SEC provide even greater flexibility by imposing only a high-level requirement for “appropriate systems and controls.” However, we must be able to actually test and assess the effectiveness of the system. Such a high-level approach simply would not provide us the ability to do our jobs effectively"

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.