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Posts taggedRegulatory (Page 201)
www.findknowdo.com/news/06/03/2020/doj-updates-guidance-prosecutors-corporate-compliance-programs?utmwww.maglaw.com/publications/articles/2020-05-21-financial-considerations-for-sentencing-in-federal-tax-prosecutions www.justice.gov/criminal-fraud/page/file/937501/download www.jdsupra.com/legalnews/doj-update-to-evaluation-of-corporate-67093/ Update:www.globalinvestigations.blog/whistleblowing/doj-promises-whistleblower-rewards-pilot-program-and-adds-ai-risk-to-its-evaluation-of-corporation-compliance-programs/ 0
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July 1, 2020 webmaster
Regulatory, Risk Management, US
www.findknowdo.com/news/06/04/2020/sec-sues-internet-investment-adviser-exam-and-registration-violations?utm 0
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June 30, 2020 webmaster
Regulatory, US
globalinvestigationsreview.com/benchmarking/the-practitioner%E2%80%99s-guide-to-global-investigations-fourth-edition/1212391/fines-disgorgement-injunctions-debarment-the-uk-perspective See also:www.cms-lawnow.com/publications/2021/05/watch-on-demand-managing-investigations-video-series-the-regulated-financial-services-sector?cc_lang=en#page=1 0
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June 30, 2020 webmaster
Litigation, Regulatory, UK
www.findknowdo.com/news/06/04/2020/sec-awards-50-million-whistleblower-case?utm 0
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June 29, 2020 webmaster
Regulatory, US
www.twobirds.com/en/news/articles/2020/netherlands/the-netherlands-sanctions-compliance-for-crypto-service-providers 0
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June 29, 2020 webmaster
Crypto Currencies, Netherlands, Regulatory, Sanctions
www.findknowdo.com/news/06/03/2020/sec-commissioners-weigh-fixed-income-market-concerns?utm 0
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June 26, 2020 webmaster
Regulatory, US
www.findknowdo.com/news/05/22/2020/cftc-highlights-risks-commodity-etp-and-fund-investments?utm 0
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June 24, 2020 webmaster
ETFs, Regulatory, US
www.algoodbody.com/insights-publications/eba-report-on-the-cum-ex-dividend-arbitrage-controversywww.mayerbrown.com/en/perspectives-events/publications/2020/06/eba-publishes-its-report-on-the-creation-of-an-sts-framework-for-synthetic-securitisationswww.5sah.co.uk/downloads/download/78/jibfl-download-the-cum-ex-trading-scandal-what-are-the-implications-for-the-uk.pdfSee also:www.kingsleynapley.co.uk/insights/blogs/criminal-law-blog/rise-in-cum-ex-investigations-across-europe-cum-ex-trades-explained#page=1www.rpc.co.uk/perspectives/tax-take/taxing-matters-cumex-probably-the-biggest-tax-scandal-youve-never-heard-of/#page=1www.rpc.co.uk/perspectives/tax-take/taxing-matters-cumex-a-multi-billion-tax-trading-scandal/#page=1www.rahmanravelli.co.uk/news/cum-ex-analysed-comprehensively-in-new-rahman-ravelli-guide/ 0
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June 24, 2020 webmaster
Germany, Regulatory, Risk Management, UK
www.findknowdo.com/news/05/15/2020/cftc-divisions-caution-firms-risks-extreme-market-volatility 0
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June 22, 2020 webmaster
Banking, Regulatory, Risk Management, US
www.findknowdo.com/news/05/18/2020/banking-agencies-temporarily-adjust-supplementary-leverage-ratio 0
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June 19, 2020 webmaster
Banking, Regulatory, US
