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
The Commission adopted amendments requiring the electronic filing, submission, or posting of certain forms, filings, and other submissions
A change impacts the timing of follow up with firms on exam findings that were not highly material
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
The CFTC amends its regs governing the types of investments that FCMs and DCOs may make with funds held for the benefit of customers engaging ...