The Securities and Change Fee (SEC) has imposed penalties totaling $79 million on ten corporations for allegations of insufficient The regulator mentioned the crackdown had uncovered a pattern of insufficient digital communication upkeep throughout broker-dealers and funding Do…
Tag:
RecordKeeping
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Tuesday proved to be exceptionally unfortunate for the Los Angeles-based registered futures fee service provider, Wedbush Securities which confronted challenges from two regulatory First, the Commodity Futures Buying and selling Fee (CFTC CFTC The 1974 Commodity Change Act…
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The US securities regulator has fined 11 broker-dealers a mixed penalty of USD $289 million for allegedly violating the regulation on recordkeeping The Securities and Alternate Fee (SEC) has issued stop and desist orders towards the businesses which have…
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