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Risky Business: SEC Expands DCP Enforcement Using Company Risk Factors | Holland & Knight LLP

Outside of the small circle of federal securities law nerds (we proudly proclaim our membership), the phrase "disclosure controls and procedures" (DCP) rarely garners much attention.. ....

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Broker-Dealer Agrees to $1.5 Million Settlement for Failing to File Suspicious Activity Reports Related to Cybercrimes | Faegre Drinker Biddle & Reath LLP

On May 12, 2021, the Securities and Exchange Commission (“SEC”) settled charges against GWFS Equities, Inc. (“GWFS”), a Colorado-based registered broker-dealer and affiliate of Great. ....

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