RecordKeeping
Wells Fargo and 10 Firms Fined $549 Million for Record-Keeping Failure
United States Regulators Fine Wells Fargo and 10 Corporations for Record-Keeping Failure The United States Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have…
SEC Chairman Gensler Under Fire for Potential Recordkeeping Failures
The Chairman of the SEC Under Scrutiny for Alleged Noncompliance A letter in November 2022 questioned the SEC’s compliance with recordkeeping requirements Concerns arose regarding the…
Compound Founder Forms Superstate to Create Bond Fund With Ethereum for Record-Keeping
The new fund investing in short-term United States Government bonds using Ethereum (ETH) blockchain Robert Leshner, CEO of Compound, submitted filings for a new company was known “Superstate” that…
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