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Regulators
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SEC has brought 43 Charges in Sept 2023

(quoted from SEC’s https://www.sec.gov/news/pressreleases ) SEC has brought 43 charges in Sept 2023 (quoted from the release) for the various violations listed below. The list of releases and their links are here Sept. 29, 2023 SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule Sept. 29, 2023 SEC Charges 10 Firms with Widespread Recordkeeping […]...

Published On - September 30, 2023

Lameerinc Regulators
NewsRegulators
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SEC Division of Examinations releases Risk Alert for Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents*

SEC Division of Examinations issued a Risk Alert for Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents on Sept 6th 2023. Please find the link here. All information below is quoted from the risk alert. https://www.sec.gov/files/risk-alert-ia-risk-and-requesting-documents-090623.pdf Key Highlights (quoted from the article) Each year, the Division’s publication of its annual priorities provides advisers with […]...

Published On - September 6, 2023

Lameerinc News, RegulatorsTags:
Anti Money LaunderingLa Meer
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SEC Division of Examination issues Risk Alert on AML for Broker-dealers

OBSERVATIONS FROM ANTI-MONEY LAUNDERING COMPLIANCE EXAMINATIONS OF BROKER-DEALERS Issued on July 31, 2023 https://www.sec.gov/files/risk-alert-aml-compliance-examinations-bd-073123.pdf Before discussing those specific observations, the Division would like to highlight two other, more general staff observations about registrants’ AML programs. First, Some registrants did not appear to devote sufficient resources, including staffing, to AML compliance given the volume and risks […]...

Published On - August 16, 2023

Lameerinc Anti Money Laundering, La MeerTags: