Link to: Schwab IMPACT 2021 Brian Edelman joins Schwab Advisor Services for IMPACT 2021 providing cybersecurity expertise in an educational session: Cybersecurity Landscape and the Benefits of Insurance on October 20, 2021 @ 11:00AM…
October 2021
The SEC Strikes Again
- By John J. Cooney -
- October 5, 2021 -
In the last newsletter, we discussed the Securities and Exchange Commission (SEC) and its recent enforcement efforts. Specifically, how the SEC and the New York Department of Financial Services (DFS) have been pursuing entities for failure to…