• 09/21/2024

SEC Says Self-Reporting Key Factor in Reducing Off-Channel Communication Fines

Wall Street Journal

A senior enforcement official said the regulator considers several factors in determining the size of penalties imposed on financial institutions over recordkeeping violations.

https://www.wsj.com/articles/sec-says-self-reporting-key-factor-in-reducing-off-channel-communication-fines-66f6acd4