Similar Search Results

SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme

Bondi, Bradley J.; Gilman, Charles A.; … - In: Journal of Investment Compliance 18 (2017) 3, pp. 41-43

Purpose To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to enforce anti-money laundering (AML) regulations and reporting. Design/methodology/approach This article explores the...

Persistent link: https://www.econbiz.de/10014893777

Securities regulators' overlapping priorities provide guidance for examination preparation

Nathan, Daniel A.; Marshall, Elizabeth - In: The journal of investment compliance 18 (2017) 1, pp. 15-18

Persistent link: https://www.econbiz.de/10011662048

AML compliance in the age of individual accountability

Greene, Carlton; Hanusik, Thomas; Stinebower, Cari; … - In: The journal of investment compliance 18 (2017) 3, pp. 44-47

Persistent link: https://www.econbiz.de/10011804788

SEC adopts new disclosure and recordkeeping requirements for investment advisers

Greene, Nathan - In: The journal of investment compliance 18 (2017) 1, pp. 19-24

Persistent link: https://www.econbiz.de/10011662051

The municipal advisor regulatory framework : where we are and where to next

Lanza, Ernesto - In: The journal of investment compliance 18 (2017) 1, pp. 53-57

Persistent link: https://www.econbiz.de/10011662083

SEC requires hedge funds to prevent insider trading despite unsettled legal definition

Morgan, Nicolas; Zwickel, Art; Zaccaro, Thomas A.; … - In: The journal of investment compliance 18 (2017) 1, pp. 63-64

Persistent link: https://www.econbiz.de/10011662110

SEC targets broker-dealer implications of transaction-based deal fees

Daniel, Jason - In: The journal of investment compliance 17 (2016) 4, pp. 75-76

Persistent link: https://www.econbiz.de/10011616461

The SEC provides new custody rule guidance to investment advisers

Wirig, Matthew T.; Poorbaugh, Kate S. - In: The journal of investment compliance 18 (2017) 2, pp. 9-12

Persistent link: https://www.econbiz.de/10011704623

Pay to play violations : an SEC focus

Van Grover, Robert - In: The journal of investment compliance 18 (2017) 2, pp. 13-15

Persistent link: https://www.econbiz.de/10011704651

SEC enforcement actions under exchange act rule 21F-17

White, Thomas W. - In: The journal of investment compliance 18 (2017) 3, pp. 1-10

Persistent link: https://www.econbiz.de/10011804682

1
2
3
4
5
6
7
8
9
10
Next
Last