In recognition of the one-year anniversary of the passage of The Senior Safe Act, the SEC, NASAA & FINRA have issued a fact sheet...
CN Editor
May 24, 2019
SEC SECURES FINAL JUDGEMENT IN "FREE RIDER" CASE
SEC, CFTC SETTLE WITHH FUND MANAGERS
FEE REBATE FOR MEMBER FIRMS
SEC PUBLISHES DATA ON BROKER-DEALERS, MERGERS & ACQUISITIONS, AND BUSINESS DEVELOPMENT COMPANIES
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL