Accordingly, Senvest’s recordkeeping failures ... broker-dealers and investment advisers, the SEC has continued to charge firms with recordkeeping violations relating to off-channel communications.[2] ...

(Reuters) - Units of three broker-dealer and investment ... in penalties to settle charges from the U.S. Securities and Exchange Commission (SEC) over cybersecurity failures, the regulator said ...

The charges span across the board, accusing the defendants of violating antifraud, securities-registration, and ...

Uniswap Labs has received a notice from the Securities and Exchange Commission that it could soon be charged with violating federal securities laws, its CEO Hayden ... of a “dealer” in such ...

The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain ...

It’s highly unusual in the securities industry for a broker-dealer to put up ... alleged that “the mutual fund shares for which Commonwealth received those fees were sometimes more expensive ...

The trend of text messaging compliance failures at investment ... at a Florida broker-dealer. Dawson James Securities, a Boca Raton, Florida-based firm, and its CEO, Robert Dawson Keyser Jr ...

Matt Levine is a Bloomberg Opinion columnist. A former investment banker at Goldman Sachs, he was a mergers and acquisitions lawyer at Wachtell, Lipton, Rosen & Katz; a clerk for the U.S. Court of ...

The hedge fund industry’s biggest stars are looking beyond money when they plot their career moves, according to IDW Group founder and Chief Executive Officer Ilana Weinstein. After a year or ...

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