The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-regis...
CN Editor
February 09, 2024
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
Thank you for the feedback!!
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