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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
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 ...
The information collected on Form PF is important to financial regulators
NFC willfully violated Rule 204(b)-1 under the Advisers Act, which requires investment advisers registered or required to be registered under Section 203 of the Advisers ...
The statements in paragraphs 19 through 22 were materially misleading, given that Cantor personnel had already had substantive discussions on behalf of CFAC II with ...
