Indonesia: OJK sets new Cyber Security Best Practices for the Banking Industry
Click to access ahpclientupdate-6april2023.pdf 0
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Ireland: Changes to the Central Bank’s Individual Questionnaire Application Process
www.dilloneustace.com/legal-updates/changes-to-the-central-banks-individual-questionnaire-application-process 0
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US: Broker-Dealer settles FINRA Charges for Mismarking Short Sales
www.findknowdo.com/news/04/05/2023/broker-dealer-settles-finra-charges-mismarking-short-sales 0
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US: Investment Adviser Settles SEC Charges for Prohibited Affiliate Transactions
www.findknowdo.com/news/04/04/2023/investment-adviser-settles-sec-charges-prohibited-affiliate-transactions 0
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US: Firm settles SEC Charges for undisclosed Fees on Advisory Client Accounts
www.findknowdo.com/news/04/04/2023/firm-settles-sec-charges-undisclosed-fees-advisory-client-accounts 0
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Canada: BC Court of Appeal considers if Financial Institutions have a Duty to warn Customers about Scams
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US: Trading Platform settles OFAC Charges for Cuba, Iran and Venezuela Sanctions Violations
www.findknowdo.com/news/04/03/2023/trading-platform-settles-ofac-charges-cuba-iran-and-venezuela-sanctions-violationswww.globaltradelawblog.com/2023/04/04/ofac-finds-digital-assets-trading-platform-in-violation-of-sanctions/#page=1viewpoints.reedsmith.com/post/102ic9v/ofac-settles-investigation-into-crypto-platform-for-sanctions-violations#page=1 0
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US: Government Enforcement Authorities to take aim at Bank Executives
www.dlapiper.com/en-ro/insights/publications/2023/03/government-enforcement-authorities-to-take-aim-at-bank-executives 0
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US: Judge orders CFPB to produce Employees for Depositions in Bank Lawsuit
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Spain: Key Elements of the new Securities Markets Law
www.garrigues.com/sites/default/files/documents/the_key_elements_of_the_new_spanish_securities_markets_law.pdfcms-lawnow.com/en/regzone/articles/2023/03/spain-new-law-on-securities-markets-and-investment-servicescms.law/es/esp/publication/las-implicaciones-de-la-nueva-ley-de-los-mercados-de-valores-y-de-los-servicios-de-inversion-en-el-ecosistema-fintech-y-cripto-espanol 0
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