UK: Sanctions and contractual Performance – Section 44 of the Sanctions and Anti-Money Laundering Act
www.ashurst.com/en/news-and-insights/legal-updates/corporate-crime-and-investigations-update/ See also:t.ly/9Wrq 0
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Home » Archive by categoryRegulatory (Page 54)
US: Regulatory Considerations and Fund Structures for Crypto Asset Managers with US and non-US Investors
www.friedfrank.com/news-and-insights/jason-schwartz-asset-managers-11066 0
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Trends: IOSCO identifies “Good Practices” for Regulators to implement ETF Principles
www.findknowdo.com/news/05/16/2023/iosco-identifies-good-practices-regulators-implement-etf-principles 0
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US: HSBC settles CFTC Charges for Market Manipulation with 45 Million USD Payment
www.findknowdo.com/news/05/16/2023/firm-settles-cftc-charges-market-manipulation 0
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US: Two Broker-Dealer Firms settle SEC Charges for “Unapproved Communications”
www.findknowdo.com/news/05/15/2023/two-broker-dealer-firms-settle-sec-charges-unapproved-communications 0
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US: Broker-Dealer settles FINRA Charges on insufficient Minimum Net Capital
www.findknowdo.com/news/05/15/2023/broker-dealer-settles-finra-charges-insufficient-minimum-net-capital 0
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US: Broker-Dealer and CEO settle FINRA Charges for “Regulation Best Interest” and Supervision Violations
www.findknowdo.com/news/05/15/2023/broker-dealer-and-ceo-settle-finra-charges-reg-bi-and-supervision-violations See also:www.findknowdo.com/news/05/22/2023/broker-dealer-penalized-reg-bi-and-form-crs-failuresBroker-Dealer Fined for Reg BI Violations | Find Know Do 0
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UK: NFT Project Creators – what you need to know about Regulation
t.ly/nYTcH 0
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US: District Court orders Fintech to pay $2.8 million for manipulating Price of Crypto-asset Security
buckleyfirm.com/blog/2023-04-26/district-court-orders-fintech-pay-28-million-settle-claims-price-manipulation-crypto-assets-security#page=1 0
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UAE: SCA confirms on Marketing of Cayman Funds
www.dechert.com/knowledge/onpoint/2023/5/sca-updates–marketing-cayman-funds-in-the-uae.html 0
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