Today's SEC: Helping you un-break the law

In yet another all-good-cop, no-bad-cop routine, the Commission recently issued a "Compliance Alert" to all investment managers, brokers and transfer agents registered with it, essentially tipping off firms that it (the Commission) should be regulating with a stern hand as to violations (or "issues") it has discovered so far in its compliance audits.

Or, as the SEC itself put it, "This 'Compliance Alert' letter summarises select areas that SEC examiners have recently reviewed during examinations

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact or view our subscription options here:

You are currently unable to copy this content. Please contact to find out more.

Sorry, our subscription options are not loading right now

Please try again later. Get in touch with our customer services team if this issue persists.

New to Waterstechnology? View our subscription options

If you already have an account, please sign in here.

You need to sign in to use this feature. If you don’t have a WatersTechnology account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here