The release covers an assessment of risks, details on the scoping of municipal advisor exams, and the requesting of exam documents
Alerts addressed municipal advisors, investment companies, broker-dealers, marketing rule compliance, shortening the settlement cycle and security-based swap dealers
You must comply with these requirements in order for documents to be timely received and accepted
This final rule requires electronic filing on EDGAR using structured data, permits electronic signatures in certain broker-dealer filings and updates FOCUS reports
Kyi caused SogoTrade’s failure to accurately document its CIP procedures
Austin fraudulently obtained money over $100,000 benefitting himself, while knowing or having reason to know that the client was a vulnerable adult
SogoTrade’s independent AML auditor identified recurring weaknesses in SogoTrade’s AML program, which it repeated in each of its annual reports
"Today’s amendments build on more than 20 years of Commission actions to modernize filing and recordkeeping requirements"
"The Commission’s apparent insatiable appetite to obtain and store more and more surveillance data in its systems grows with each rulemaking—with little consideration on issues ...
Catalyst was registered with the Commission as an investment adviser and managed private fund assets of at least $150 million as of the end of ...