InfoBytes

Archive: Securities

• Broker dealer assessed $38 million in penalties for AML violations

  August 12, 2020

• SEC urges firms impacted by Covid-19 to review supervisory and compliance policies

  August 12, 2020

• FINRA fines firm for alleged financial risk management failures

  August 5, 2020

• CFTC awards $9 million to whistleblower

  July 31, 2020

• SEC’s new exam team focuses on emerging threats

  July 31, 2020

• SEC issues $3.8 million whistleblower award

  July 16, 2020

• SEC issues $18.5 million civil penalty for unregistered digital token offering

  July 2, 2020

• SEC issues two separate whistleblower awards totaling over $800,000

  June 26, 2020

• CFTC awards $6 million to whistleblower for CEA action

  June 11, 2020

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