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SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

Pennsylvania
United-states
Toronto
Ontario
Canada
Rome
Lazio
Italy
Public-school
New-york
Texas
Chicago

SEC.gov | SEC Charges Five Investment Advisers for Marketing Rule Violations

SEC.gov | SEC Charges Five Investment Advisers for Marketing Rule Violations
sec.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from sec.gov Daily Mail and Mail on Sunday newspapers.

Julia-gilmer
Anne-hancock
Colin-forbes
Marilyn-ampolsk
Robert-baker
Corey-schuster
Janet-grossnickle
Jennifer-paul
Donna-norman
Jennifer-sawin
Emily-shea
Kamran-beikmohamadi

SEC Fines 5 More Firms For Ad Rule Violations

The firms will collectively pay $200,000 to settle the charges, which focused primarily on their use of hypothetical performance.

Thayne-gould
Corey-schuster
Exchange-commission
Enforcement-division-asset-management-unit
Marketing-rule
Bradesco-global-advisors
Credicorp-capital-advisors
Insight-securities
Monex-asset-management
Enforcement-division
Asset-management-unit
Credicorp-capital

VanEck Sanctioned By SEC For Error In ETF Marketing

VanEck was fined by the Securities and Exchange Commission for an ETF Marketing error. A warning to other investment firms?

United-kingdom
David-portnoy
Jake-paul
Austin-mahone
Soulja-boy
Lindsay-lohan
Kim-kardashian
Van-eck-associates
United-kingdom-financial-conduct-authority
Exchange-commission
Enforcement-division-asset-management-unit
Investment-company

VanEck fined $1.8M over influencer promo nondisclosure

VanEck fined $1.8M over influencer promo nondisclosure
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Van-eck-associates-corp
Enforcement-division-asset-management-unit
Van-eck-associates
Advisers-act
Vaneck-social-sentiment
Eck-associate
Van-eck-associate
Andrew-dean
Asset-management-unit
From-december

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