The Securities and Exchange Commission proposed rule changes that would improve the resilience and recovery and wind-down plannin...
CN Editor
May 18, 2023
SEC SECURES FINAL JUDGEMENT IN "FREE RIDER" CASE
ENHANCED COST REPORTING
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