IA Rules & Regulatory Actions

Manhattan's world famous skyline from birds point of view.
The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...
Close-up of a businessman wearing a balaclava picking the trouser pocket of a middle class man.
Chang misappropriated $58,560 from the Investors via 40 unauthorized ACH transfers to accounts in Chang’s name at two online payment applications. Chang took advantage that ...
Businessman hand caught on a fishing hook with bait dollars money banknote. Business concept idea. fraud, risk, danger, bribe
Senior personnel repeatedly violated policies by, among other things, sending emails to current investors, potential investors, and industry contacts which, in certain cases, unnecessarily disclosed ...
Four businesspeople sitting on bench and looking up at clock. Horizontally framed shot.
These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...
Accident. stumble and fall while jogging
The firm acted as an investment adviser or principal underwriter to registered investment companies or ESCs in violation of the ineligibility provisions of the Investment ...
Stock market in Manhattan by Wall Street
Entities that will be effected by this new final rule include investment advisers and ABS investors. For example, pension funds, endowments, foundations, hedge funds, and ...
A businessman covers his eyes and extends his arm in a futile effort to prevent the inevitable a series of heavy walls from falling on him.
ECM failed to engage an independent public accountant to verify by actual examination at least once during each calendar year the REOC Funds’ funds and ...
silver brick and golden coins laying on dollar banknotes
This is an SEC final rule that would prohibit conflicts of interest in the sale of asset-backed securities
Child around 10 years old stands on a field after a failed rocket launch. He covers his head in his hands. He wears a lab coats like a real scientist.
Although Laidlaw had monitoring procedures to detect potential violations by reps of the quantitative prong of the Care Obligation, Laidlaw did not reasonably maintain and ...
Business Stock Exchange Trading Concepts
Respondents employed a strategy of taking quick profits on part of a particular securities position resulting in frequent trade recommendations in these accounts .... As ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination