On February 6, 2024, the SEC adopted new rules under the Securities Exchange Act of 1934 (Exchange Act), to expand the scope of “dealers” and “government securities dealers” required to register under the Exchange Act, become...more
The United States Securities and Exchange Commission recently charged two individuals— Florida residents, Suyun Gu, and his friend, Yong Lee—for their involvement in allegedly fraudulent wash sales involving out-of-the-money...more
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on June 18, 2020 (Risk Alert), which introduces an examination initiative on the upcoming...more
MAS hopes to strengthen controls on market abuse with new client identification and record keeping requirements for FIs. Key Points: ..In August 2019, the Monetary Authority of Singapore (MAS) proposed four new...more
Financial institutions M&A sector trends: brokers/trading service providers — H1 2019 and outlook for H2 2019. CURRENT MARKET - Consistent, high activity levels...more