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SEC outlines 2024 examination priorities

November 6, 2023

On October 16, 2023, the Securities and Exchange Commission’s (SEC) Division of Examinations (the Division) published its annual examination…

Investment Companies Exchange Act Rule Bank Secrecy Division Of Examinations The Financial Industry Regulatory Authority Office Of Foreign Assets Control

Source: lexology.com

SEC Outlines 2024 Examination Priorities | Latham & Watkins LLP

November 3, 2023

The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October...

Financial Industry Regulatory Authority Office Of Foreign Assets Control Exchange Act Rule Bank Secrecy Act Bank Secrecy Investment Companies

Source: jdsupra.com

Kaizen Reporting Wins 'Best Reporting Solution For CFTC Reporting' At The RegTech Insight Awards USA 2021

December 1, 2021

<p><span>Leading regulatory technology firm, Kaizen Reporting (Kaizen), has won Best Reporting Solution for CFTC Reporting at the RegTech Insight Awards USA for its ReportShield&trade; Accuracy Testing service.</span></p>

United States Alan Mcintyre Dario Crispini John Kim Head Of Business Development Kaizen Reporting

Source: mondovisione.com

SEC Instructs SBS Entities On Document Submissions Under Financial Responsibility Rules - Finance and Banking

October 20, 2021

SEC .Division of Trading and Markets ("Division") staff instructed security-based swap ("SBS") entities on documentation submissions...

Sec Division Of Trading Based Swap Legal Entity Identifiers Sec Instructs Sbs Entities On Document Submissions Under Financial Responsibility Rules Corporate Commercial Law Corporate And Company Law

Source: mondaq.com

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