On June 7, 2023, the Securities and Exchange Commission (SEC) adopted two new rules to address misconduct in the security-based swaps market. The first rule prohibits fraud,.
SEC Adopts Amendments to Remove References to Credit Ratings From Regulation M. FCC Reaffirms $225 Million Spoofed Robocall Fine Against Rising Eagle. Biden-Harris Administration Announces $80 Million To Strengthen American Manufacturing. Warrior Games Back in Action
June 7, 2023- The U.S. Committee on Financial Services Subcommittee on National Security, Illicit Finance, and International Financial Institutions held a hearing entitled,.
Compliance Today (May 2022) - Would a law that makes it illegal to mislead the chief compliance officer (CCO) help or hinder the mission of the compliance function? We.