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Bloomberg Law: SEC Alerts Firms on Trader Oversight Amid Covid-19 Remote Work

By August 17, 2020September 21st, 2021No Comments
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Brokers and investment advisers should “closely review” their policies and procedures for supervising their remote workers during the coronavirus pandemic, the SEC said.

Firms may need to revise their protocols given that Covid-19 has forced traders and other employees to work off-site and caused other challenges, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations said in a risk alert Wednesday.

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Marc Gilman

Author Marc Gilman

Marc Gilman is the General Counsel and VP of Compliance at Theta Lake as well as an adjunct professor at Fordham University School of Law. Linkedin

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