Last month, the United Kingdom Financial Conduct Authority (FCA) announced that it is considering new procedures under which it would publicly identify firms that are under.
On March 15, FinCEN issued an administrative ruling affirming that broker-dealers must comply with CIP and CDD requirements when distributing to a beneficiary of IRA funds inherited as part of a charitable estate.
The SEC settled charges last week against two investment advisers for making false and misleading statements about their purported use of artificial intelligence (AI), including claims.