Search
Copyright © 2025 ALM Global, LLC. All Rights Reserved.
Charles Schwab offices in Baltimore, MD. Photo: Diego M. Radzinschi/ALMThe Securities and Exchange Commission has announced charges against Charles Schwab, Blackstone and seven other investment advisers, as well as three broker-dealers, for allowing their employees to use unapproved communication methods, such as WhatsApp and LinkedIn, to send and receive messages that were required to be preserved, in violation of recordkeeping provisions of federal laws.
“When firms fall short of those obligations, the consequences go far beyond deficient document productions; such failures implicate the transparency and the integrity of the markets and their participants, like the firms at issue here,” said Sanjay Wadhwa, Acting Director of the SEC’s Division of Enforcement.
Already have an account? Sign In Now
NOT FOR REPRINT
© 2025 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.
Guide
Sponsored by Zelis
The Do's and Don'ts of Improved Data Accuracy
Inaccurate provider data can lead to frustrated clients and stress on your business relationships. These are the top do’s and don’ts to ensure the data you rely on as a benefits advisor is as accurate and helpful as possible.
Guide
Sponsored by LifeSecure Insurance Company
7 Must-Haves That Employers (and Employees!) Want in Workplace Benefits in 2025
Employers are revamping their benefits strategies--but are they offering what employees truly want? Discover the seven key elements shaping workplace benefits in 2025 to help your clients enhance satisfaction, retention, and enrollment.
Guide
Sponsored by Nonstop Administration and Insurance Services, Inc.
Guide: Redefining the Role of the Broker
In 2025, you are uniquely positioned to make a real difference for your clients--both financially and in the wellness of their employees. Full of tips ranging from goal setting to relationship building, this is your guide to being a better partner this year, and beyond.
Copyright © 2025 ALM Global, LLC. All Rights Reserved.
Sign In
Sign In
