The SEC announced that it has voted to propose rule amendments to modernize the description of business, legal proceedings, and ...
CN Editor
August 12, 2019
SEC SECURES FINAL JUDGEMENT IN "FREE RIDER" CASE
FCA - A NEW IMPROVED HANDBOOK WEBSITE
SEC, CFTC SETTLE WITHH FUND MANAGERS
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