On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser for pervasive and longstanding failures to maintain and preserve electronic communications. ...
The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers have agreed to settle charges that they failed to timely file and deliver their ...
Software isn't what it used to be. That's not necessarily a bad thing, but it does come with its own set of challenges. In the past, if you wanted to build a feature, you'd have to build it from ...
On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser for pervasive and longstanding failures to maintain and preserve electronic communications. ...
Here’s a nice little distraction from your workday: Head to Google, type in any made-up phrase, add the word “meaning,” and search. Behold! Google’s AI Overviews will not only confirm that your ...
What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers) for widespread and longstanding failures by ...
An Israeli probe into its soldiers' deadly shooting of 15 emergency workers last month in Gaza says it has found evidence of "professional failures" and a deputy commander will be fired.Israel at ...
In a statement summarizing its investigation into the deadly episode, the military said a deputy commander would be dismissed.
The problem, Merlin argued, isn’t the existence of affiliated service providers – it’s the lack of transparency and oversight. “Managing general agents, service ...
Troublesome METX NCS101 heads towards its final destination, Antioch with MACH 506 leading. During this time, massive Microsoft outages were causing trains to be delayed and 101 was delayed for ...
