The SEC released the agenda for the Nov. 4 meeting of the Fixed Income Market Structure Advisory Committee (FIMSAC). The meeting ...
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November 04, 2019
SEC SECURES FINAL JUDGEMENT IN "FREE RIDER" CASE
SEC, CFTC SETTLE WITHH FUND MANAGERS
SEC PUBLISHES DATA ON BROKER-DEALERS, MERGERS & ACQUISITIONS, AND BUSINESS DEVELOPMENT COMPANIES
B.C. COURT UPHOLDS RULING TO ENFORCE SEC ORDER
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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