26.3 C
Mon 27 Sep, 2021
The official Financial Regulation Journal of SAIFM
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SEC Fines Broker-Dealer $1 Million in First Enforcement Action Under Identity...

On September 26, 2018, the SEC announced a settlement with Voya Financial Advisers, Inc., a registered investment advisor and broker-dealer, for violating Regulation S-ID, as well as Regulation S-P. Together, Regulations S-ID and S-P are designed to require covered entities to help protect customers from the risk of identity theft and to safeguard confidential customer information. The settlement represents the first SEC enforcement action brought under Regulation S-ID.

SAIFM Regulatory Summit, 8 August 2018

The SAIFM’s annual regulatory summit has been dedicated to providing industry participants with an annual event where certainty, clarity and consistency about regulatory developments and initiatives could be obtained, while at the same time providing the regulatory authorities with a platform where new developments could be articulated and communicated to financial market professionals.

Demand for compliance lawyers is growing in Africa

Regulators around the world are increasing their focus on compliance issues and this has given rise to a substantial increase in demand for lawyers who specialise in this field.