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SEC Issues Risk Alert On Suspicious Activity Monitoring And Reporting At Broker-Dealers - Corporate/Commercial Law

To print this article, all you need is to be registered or login on Mondaq.com. On March 29, 2021, the SEC s Division of Examinations issued a Risk Alert emphasizing broker-dealers obligations to monitor and report suspicious activity. The alert includes observations from SEC examination staff on the adequacy of firms AML compliance programs, particularly the detection and reporting of red flags relating to abrupt increases in volume in low-priced or thinly-traded stocks. While these are not new regulatory concerns, they are the subject of renewed focus by staff following the recent price and volume volatility in certain stocks driven by social

The Dublin students being backed on catcalling laws and fines after disturbing findings

The Dublin students being backed on catcalling laws and fines after disturbing findings The students are seeking a political discussion about whether there should be laws around the distressing subject Transition Year students in Dublin are calling for people to be fined for catcalling women. Want the latest breaking news straight to your inbox? Sign up for our free newsletterInvalid EmailSomething went wrong, please try again later. Sign Up! When you subscribe we will use the information you provide to send you these newsletters. Your information will be used in accordance with ourPrivacy Notice. Thank you for subscribingWe have more newslettersShow meSee ourprivacy notice

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