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bit.ly/2xbmT9X goo.gl/zJYrjN www.jdsupra.com/legalnews/sec-wants-the-truth-and-nothing-but-the-60834/ www.omm.com/resources/alerts-and-publications/alerts/client-alert-sec-publishes-alert-describing-most/ www.proskauer.com/publications/client-alert/sec-issues-risk-alert-on-the-most-frequent-advertising-rule-compliance-issues-and-use-of-accolades-in-advertisements/ Click to access risk-alert-advertising.pdf 0
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October 13, 2017 webmaster
Banking, Regulatory, Risk Management, US
bit.ly/2yxl4DS www.bakermckenzie.com/en/insight/publications/2017/09/new-business-opportunity-cnv/ canosa.com/creation-global-investment-advisory-agent/ 0
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October 12, 2017 webmaster
Argentina, Banking, Regulatory
www.findknowdo.com/news/07/03/2019/broker-dealer-settles-finra-charges-failing-supervise-representatives-trading?utm www.finra.org/newsroom/2017/finra-hearing-panel-fines-cl-king-associates-750000-negligent-misrepresentations-and See also: www.findknowdo.com/news/08/10/2021/three-individuals-settle-charges-misrepresentations-digital-assets-scheme?utm 0
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October 12, 2017 webmaster
Banking, Regulatory, US
www.chapmantripp.com/publications/fma-toughens-approach-to-misuse-of-fspr fma.govt.nz/news-and-resources/media-releases/fma-toughens-approach-to-misuse-of-fspr/ 0
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October 11, 2017 webmaster
New Zealand, Regulatory
www.corkerbinning.com/fca-enforcement-interviews-tips-and-best-practice/#page=1 See also: www.corkerbinning.com/what-to-expect-when-you-are-the-subject-of-an-fca-investigation/ 0
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October 10, 2017 webmaster
Banking, Regulatory, Risk Management, UK
www.thompsonhine.com/publications/advisers-must-offer-investors-the-lowest-fee-share-class-available 0
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October 9, 2017 webmaster
ETFs, Funds, Regulatory, US
bit.ly/2xI76Sh www.fca.org.uk/news/speeches/better-view Update: www.aoshearman.com/en/insights/webinar-ahead-of-the-curve-latest-developments-in-trade-transparency-requirements#page=1 0
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October 9, 2017 webmaster
Banking, European Union, Regulatory, UK
www.jordanscorporatelaw.com/our-thinking/blog/-/blogs/action-against-companies-who-have-failed-to-update-their-psc-register The Register of Persons with Significant Control (taylorwessing.com) 0
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October 6, 2017 webmaster
Regulatory, Risk Management, UK
www.kingsleynapley.co.uk/insights/blogs/criminal-law-blog/fca-enforcement-the-calm-before-the-storm#page=1 See also: Who’s afraid of the FCA? 0
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October 5, 2017 webmaster
Regulatory, Risk Management, UK
www.lit-wc.shearman.com/sec-files-administrative-proceeding-against-an-in buckleysandler.com/blog/2017-09-21/sec-reaches-settlement-investment-adviser-allegedly-overcharging-clients www.sec.gov/news/press-release/2017-165 0
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October 4, 2017 webmaster
Banking, Funds, Regulatory, US
