‘Enforcement 40’ for 2020
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By Securities Docket on February 26, 2015, 9:54 am
In recent weeks the agency has sent letters to a number of companies asking for years of nondisclosure agreements, employment contracts and other documents, according to people familiar with the matter and an agency letter viewed by The Wall Street Journal. The inquiries come as SEC officials have expressed concern about a possible corporate backlash […]
By Securities Docket on February 26, 2015, 9:09 am
Securities and Exchange Commission Enforcement Chief Andrew Ceresney told broker-dealers Wednesday that compliance with the Bank Secrecy Act “is not optional,” and that a BD’s failure to file a required suspicious activity report (SAR) “is, by itself, a basis for enforcement action.” via SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs — ThinkAdvisor