Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
International (311)
Your search for International returned 311 results.
Sorted by Date

3/18/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that Lerman negiligently engaged in conduct in connection with the offering of interests in Pangaea Trading Partner...
3/18/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that Gladtke engaged in a scheme to defraud investors who purchased units in Pangaea, a holding company that held i...
3/18/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that DePalo engaged in a scheme to defraud investors who purchased units in Pangaea, a holding company that held it...
3/06/2019 | Content area: Investment Adviser
Goldsky's Forms ADV for 2016 and 2017, which Grace signed, falsely stated that Goldsky's hedge fund, Goldsky Global Alpha Fund, LP, had an auditor, a ...
2/28/2019 | Content area: CPO/CTA
With a March end deadline, much uncertainty exists about the aftermath of Brexit on financial services. U.S. and UK regulators have taken steps to red...
12/20/2018 | Content area: Investment Adviser | Private Fund
As time ticks down to the UK’s break from the EU next March 29, great uncertainty surrounds the issue of Brexit. But if your firm is based in the U.S....
12/03/2018 | Content area: Investment Adviser
Barriers to information may come in various forms, including data protection, privacy, confidentiality, bank secrecy, state secrecy, or national secur...
11/29/2018 | Content area: CPO/CTA
The latest final rule from the CFTC takes effect next month and makes clear that certain legacy uncleared swap deals aren’t subject to the Commission’...
11/07/2018 | Content area: Investment Adviser
The numerous state and federal regulators in the United States have taken a variety of approaches with respect to cryptocurrency, which makes it diffi...
11/01/2018 | Content area: Broker-Dealer
1Broker, registered in the Republic of the Marshall Islands, and its CEO Patrick Brunner solicited investors from the United States and around the wor...
10/09/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) tha...
9/28/2018 | Content area: Investment Adviser
Goldsky's Forms ADV filed with the Commission in 2016 and 2017, which Grace signed, stated that its hedge fund, Goldsky Global Alpha Fund, LP, had an ...
9/06/2018 | Content area: Broker-Dealer
Burstein aided and abetted Quiros' misappropriation and misuse of investor money that flowed through various brokerage accounts held at Raymond James....
9/06/2018 | Content area: Broker-Dealer
Bahn also took steps to circumvent Colliers’ then existing internal accounting controls by making false statements, fabricating documents, and creatin...
8/27/2018 | Content area: Investment Adviser
The Permal Employees, along with employees of Société Générale, also used coded language in furtherance of the scheme, including discussing when the L...
8/09/2018 | Content area: CPO/CTA
In the CFTC’s latest move to “foster cross-border cooperation and show deference to home country regulation that is deemed comparable to the Commissio...
8/08/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is proposing amendments to its regulations to establish a regulatory framework within which the ...
8/02/2018 | Content area: Investment Adviser
IA Watch spoke with Thomas Smedinghoff, of counsel with Locke Lord in Chicago, about what advisers should know about the EU's General Data Protection ...
7/19/2018 | Content area: Investment Adviser
Take two teenaged hackers in Ukraine. Add a former Morgan Stanley investment adviser who moonlights as a pastor and his friend, a former rep. Toss in ...
7/12/2018 | Content area: Investment Adviser | Private Fund
The world’s a tiny place when it comes to financial services. Private fund managers are reaching out to new places, attracting new investors. But when...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US