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buckleysandler.com/blog/2017-10-05/occ-releases-bank-supervision-operating-plan-fiscal-year-2018 0
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October 27, 2017 webmaster
Banking, Regulatory, Risk Management, US
www.dechert.com/Hong_Kong_SFC_Issues_Clarification_on_Standards_Expected_of_Asset_Managers_10-04-2017/ 0
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October 24, 2017 webmaster
Hong Kong, Regulatory, Risk Management
bit.ly/2hAZw5V www.professionaladviser.com/professional-adviser/news/3017303/fca-refers-investment-consultants-to-cma-for-market-probe www.burges-salmon.com/news-and-insight/legal-updates/investment-consultancy-probe-fca-makes-first-market-investigation-referral-to-cma/ www.fca.org.uk/news/press-releases/fca-makes-market-investigation-reference-investment-consultancy-services 0
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October 24, 2017 webmaster
Banking, Regulatory, UK
Click to access 2017-09-27-When-the-Inevitable-Happens-When-to-Self-Report-Securities-Law-Violations-and-What-to-Expect-When-You-Do(1).pdf 0
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October 23, 2017 webmaster
Regulatory, Risk Management, US
www.veirano.com.br/upload/content_attachments/545/Veirano_Client_Alert_Compliance_SEP2017_original.pdf?utm_source=Mondaq&utm_medium=syndication&utm_campaign=inter-article-link www.tmf-group.com/en/news-insights/articles/2017/october/brazil-central-bank-rules/ www.legisweb.com.br/legislacao/?id=348782 www.bcb.gov.br/pre/normativos/busca/normativo.asp?tipo=Resolu%C3%A7%C3%A3o&data=2017&numero=4567 0
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October 20, 2017 webmaster
Brazil, Regulatory, Risk Management
www.winston.com/en/privacy-law-corner/sec-s-system-was-breached-data-possibly-used-for-insider-trading.html www.businessinsider.com/ap-sec-reveals-2016-hack-that-breached-its-filing-system-2017-9 www.bracewell.com/news/cyberattacked-sec-joins-club www.natlawreview.com/article/who-s-watching-watchdog-sec-deals-its-own-data-breach www.natlawreview.com/article/sec-wants-to-collect-more-information-can-they-protect-it Update: www.barnesville-enterprise.com/news/20170926/sec-chairman-faces-questions-from-congress-after-data-breach www.findknowdo.com/news/06/05/2023/sec-regrets-database-deficiencies-adjudication-memoranda 0
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October 20, 2017 webmaster
Cyber Security, Regulatory, Risk Management, US
pestalozzilaw.com/en/news/legal-insights/initial-coin-offerings-ico-or-token-generating-events-tge-switzerland-/ www.mme.ch/de/magazin/finma_trifft_abklaerungen_bei_icos/ www.mll-news.com/finma-publishes-supervisory-notification-on-token-salesicos/ www.finma.ch/en/news/2017/09/20170929-mm-ico/ 0
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October 19, 2017 webmaster
Crypto Currencies, Regulatory, Switzerland
bit.ly/2hHnJYr www.mcguirewoods.com/Client-Resources/Alerts/2017/9/Securities-and-Enforcement-Update.aspx bit.ly/2fOHwo2 www.sec.gov/news/testimony/testimony-clayton-2017-09-26 0
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October 18, 2017 webmaster
Banking, Regulatory, Risk Management, US
www.lit-wc.shearman.com/doj-and-sec-bring-major-fcpa-enforcement-actions- www.fcpablog.com/blog/2017/9/21/telia-agrees-to-pay-5486-million-criminal-fine-for-fcpa-viol.html bit.ly/2hmmBWi www.ropesgray.com/newsroom/alerts/2017/09/Third-Largest-FCPA-Enforcement-Telia-Pay-Almost-1-Billion-Bribery-Inquiry-Uzbekistan-CEO-Charged.aspx www.justice.gov/opa/pr/telia-company-ab-and-its-uzbek-subsidiary-enter-global-foreign-bribery-resolution-more-965 bit.ly/2yJlJCL 0
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October 17, 2017 webmaster
Regulatory, Risk Management, US
en.ferrere.com/latest-posts/news/paraguay-new-compliance-rules-for-the-securities-market 0
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October 16, 2017 webmaster
Paraguay, Regulatory, Risk Management