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Best Forex Trading Apps in Kenya for 2024

We've tested forex apps in Kenya that are licensed,easy to download &beginner friendly. This is our detailed research. ....

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Capital Perspectives: Meme stocks – practical and academic implications

Since noise trader risk is now clearly additive to systematic and unsystematic risk, it could open an interesting new field of research. ....

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SEC Warns Broker/Dealers on Anti-Money Laundering

SEC Warns Broker/Dealers on Anti-Money Laundering
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SEC Division of Examinations Large Traders' Risk Alert

Thursday, January 14, 2021
On December 16, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE,” since reorganized as a separate division of the SEC, i.e., the Division of Examinations [“DivEx”]) issued a Risk Alert entitled “Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations.” My December 8, 2020, blog post, “Meeting Specified Standards: the SEC’s OCIE Assesses Compliance,” emphasizes the importance of compliance by regulated industry participants and notes DivEx reports from examinations of a number of recurring deficiencies.
In its December 16 Risk Alert, DivEx reports on similar inspections of broker-dealers and investment advisers and finds, if anything, even more frequent compliance issues concerning “Large Traders” as defined, with respect to recordkeeping, monitoring, and reporting relevant information using the Ele ....

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