27 Feb, 2024 Alphabet Soup: FinCEN Proposal Would Add AML/CFT Obligations Under the BSA for RIAs & ERAs By Jackie Benson Let me start by translating that headline to English. On February 15, 2024, the Financial Crimes Enforcement Network (FinCEN) division of...
08 Jan, 2024 Beyond 'Boring Bonds': SEC Settles with Former Executive Over Risky Investment Recommendations By Jessie Salas The Securities and Exchange Commission (SEC) has reached a settlement with the former head of the municipal bond desk at Aegis Capital...