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European Union: ESMA Opinion on UCITS Share Classes

Click to access UCITS-Share-Classes-%E2%80%93-Recent-ESMA-Opinion.pdf Click to access MiFID_II_-_ESMA_Clears_a_Path_for_a_Simple_Form_of_Identified_Target_Mar___.pdf See also: www.camilleripreziosi.com/en/news-resources/1/2441/esma-published-updated-qa-on-aifmd   0
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ETFs, European Union, Funds, Ireland

US: SEC charges Broker-Dealer and AML Officer for failing to file SAR Report

www.cahill.com/publications/firm-memoranda/2017-02-03-sec-charges-broker-dealer-and-aml-officer-for-failing-to-file-sars-related-to-pump-and-dump-scheme www.bryancave.com/en/thought-leadership/sec-brings-charges-against-new-york-brokerage-firm-and-its-chief.html bit.ly/2vphj5F See also: www.findknowdo.com/news/05/12/2021/broker-dealer-settles-sec-charges-sar-filing-failures?utm www.findknowdo.com/news/12/16/2022/sec-charges-broker-dealer-failing-file-sars 0
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