‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInThe S.E.C. Dusts Off a Never-Used Cyber Enforcement Tool – The New York Times
Five years ago, the Securities and Exchange Commission adopted a rule requiring investment firms to pay attention to identity theft. It never enforced it — until late last month. In a cease-and-desist order against Voya Financial Advisors, the investment advisory unit of Voya Financial, the commission used the “Identity Theft Red Flags Rule” to censure […]