A firm settled FINRA charges for failing to (i) properly designate personnel as either public side or private side, (ii) reasonably supervise communications between them and (iii) escalate communications that disclosed potential material nonpublic information.
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21975 News Results
The Cabinet Regulatory Tracker is a list of effective dates, comment deadlines and compliance dates.
IOSCO is joining, in the capacity of "observer," a new Technical Expert Group tasked with the refinement of a prototype climate-related disclosure standard.
In a risk alert, the SEC Division of Examinations highlighted compliance deficiencies with regard to AML policies and practices, and suspicious activity monitoring and reporting by broker-dealers.
The Alternative Reference Rates Committee provided a model for using the Secured Overnight Financing Rate in asset-backed securities products, including mortgage-backed securities and commercial mortgage-backed securities products.