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Searching Content indexed under Financial Services by Gregory Pun ordered by Published Date Descending.
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US Corporate Law News: FINRA Issues Fines Company For Regulation SHO Violations And Supervisory Failures
On August 20, 2018, the Financial Industry Regulation Authority (FINRA) announced that it was fining Interactive Brokers LLC (Interactive) ...
United States
7 Sep 2018
2
US Corporate Law News: Corp Fin Issues Compliance And Disclosure Interpretations Regarding Notices Of Exempt Solicitation
On July 31, 2018, the Division of Corporation Finance issued two Compliance and Disclosure Interpretations (CDIs) addressing Notices of Exempt Solicitation in connection with Exchange Act Rule 14a-6(g)(1).
United States
29 Aug 2018
3
US Corporate Law News: New York Department Of Financial Services Urges Stronger Fraud Controls For Cryptocurrency Companies In New York State
On February 7, 2018, the New York State Department of Financial Services' Superintendent issued guidance reminding cryptocurrency companies licensed in New York that are required to implement anti-fraud measures...
United States
7 Mar 2018
4
US Corporate Law News: Fincen's Bank Secrecy Act Customer Diligence Rules Become Effective May 2018
On May 11, 2018, customer due diligence rules issued in May 2016 under the Bank Secrecy Act by the Financial Crime Enforcement Network (FinCEN) will go into effect.
UK
7 Mar 2018
5
US Corporate Law News: Federal Reserve Bank Of New York Vice President Delivers Remarks On Administration And Production Of Reference Rates
At a recent Annual Primary Dealer Meeting of the Federal Reserve Bank of New York, Senior Vice President Lorie Logan discussed the Bank's role in establishing new reference rates...
United States
2 Mar 2018
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