Commentary by Steven Lofchie
A company settled SEC charges for failing to register the offers and sales of its retail crypto lending product.
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Commentary by Steven Lofchie
A registered representative and compliance supervisor settled FINRA charges for improper supervision of his firm's AML program.
The SEC charged a New York-based "robo-adviser" with making false claims to investors, breaching its fiduciary duty, and committing related compliance failures.
President Joseph Biden issued an Executive Order to preserve property of Afghanistan's central bank, Da Afghanistan Bank. The Order addresses various parties that "have asserted legal claims against certain property of DAB" or indicated "an intent to make such claims."
In a Request for Information, the DOL requested public comment on actions to protect retirement savings and pensions from risks associated with changes in climate.