The Financial Crimes Enforcement Network (FinCEN) imposed an unprecedented $80 million penalty on a broker-dealer for years of inadequate anti-money laundering controls, unreviewed surveillance ...

NEW YORK--(BUSINESS WIRE)--Leading global professional services firm Alvarez & Marsal (A&M) announces the appointment of Anthony Italiano as Managing Director and Co-leader of its Broker-Dealer ...

NEW YORK--(BUSINESS WIRE)--Global professional services firm Alvarez & Marsal (A&M) announces the appointment of Christopher Chatfield as Managing Director within its Disputes and Investigations (DI) ...

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory ...

Securitize announced that its subsidiary Securitize Markets has gained expanded approvals from the Financial Industry ...

The PCAOB issued its annual report Thursday on its audits of brokers and dealers and is seeing at least one deficiency in 70% of the 103 audit engagements it reviewed in 2023. Processing Content ...

EB-5 investors are suing EB5 Affiliate Network, alleging it acted as an unregistered broker-dealer while marketing Montessori school fund investments that collapsed. The class action, filed April 16 ...

An SEC rule proposal intended to thwart the likes of Bernard Madoff likely would result in significantly higher compliance costs for smaller broker-dealers. By Mark Schoeff Jr. An SEC rule proposal ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

AxiomSL, a global provider of regulatory reporting, risk, and data management solutions, recently announced the launch of a program designed to assist asset management firms and broker-dealers clarify ...

Ameriprise has been in the industry for more than 125 years, providing financial planning, banking and full-service brokerage ...