US: Broker-Dealer fined for “unreasonable” Mark-Ups
www.findknowdo.com/news/10/19/2022/broker-dealer-fined-unreasonable-mark-ups 0
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Risk Management: Preparedness for Climate-Related Litigation in the Financial Sector
financialinstitutions.bakermckenzie.com/2022/10/17/preparedness-for-climate-related-litigation-in-the-financial-sector/#page=1 0
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UK: Group Proceedings in Scotland and potential Risks for the Financial Services Sector
brodies.com/insights/litigation/sfe-and-brodies-llp-group-proceedings-and-potential-risks-for-the-financial-services-sector/#page=1www.scotcourts.gov.uk/the-courts/supreme-courts/about-the-supreme-courts/taking-action/group-proceedings 0
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UK: It’s nothing personal – Court of Appeal rejects Claims against a Director for Company’s Negligence resulting in Investment Loss
www.mishcon.com/news/court-of-appeal-rejects-claims-against-a-director-for-companys-negligence 0
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Malta: Transposition of certain Provisions on the integration of Sustainability Factors into the Product Governance Obligations
tinyurl.com/2er93zay 0
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UK: Moveable Transactions (Scotland) Bill – Five Things you need to know about Bank Account Security
brodies.com/insights/banking-and-finance/moveable-transactions-five-things-you-need-to-know-about-bank-account-security/Dentons – Moveable Transactions (Scotland) Act 2023 – a revolution in Scots law Update:Dentons – Moving closer to implementation 0
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US: Broker-Dealer settles Charges for Best Execution Violations with 2 Million USD
www.findknowdo.com/news/10/11/2022/broker-dealer-settles-charges-best-execution-violations 0
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US: California Legislation requires Marketplace Facilitators to Track “High-Volume” Seller Information
tinyurl.com/msvt9tpv 0
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US: Broker-Dealer settles FINRA Charges for Violations of Short Sale Close-Out Requirements with Payment of 2.5 Million USD
www.findknowdo.com/news/10/07/2022/broker-dealer-settles-finra-charges-violations-short-sale-close-out-requirements 0
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US: SEC charges Bank Holding Company with over-issuance of Securities
buckleyfirm.com/blog/2022-10-04/sec-charges-bank-holding-company-over-issuance-securities#page=1www.sec.gov/litigation/admin/2022/33-11110.pdf 0
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