Day: December 23, 2020

Governance

UETA and the Esign Act

UETA and ESIGN Act Both the United States Electronic Signatures in Global and National Commerce (ESIGN) Act, and the Uniform Electronic Transactions Act (UETA), have

Read More »
Governance

Safe Harbor

Safe Harbor The SEC encourages companies to disclose forward-looking information so that investors can better understand a company’s future prospects and make informed investment decisions.

Read More »
Governance

Safe Guarding Securities

Safeguarding of Funds and Securities Introduction During the period of October 2014 through September 2017, the Office of Compliance Inspections and Examinations (“OCIE”) conducted 75

Read More »

Contact Us