Posted by UnitedAtlantic | securities and exchange commission
The U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have recently adopted significant amendments to… Continue reading Key Provisions of the SEC’s Form PF Reporting Rule Amendments
Read MorePosted by UnitedAtlantic | broker-dealer, securities and exchange commission
In a move designed to modernize the securities market and clarify its participants’ responsibilities, the U.S. Securities and Exchange Commission… Continue reading Key Provisions of SEC’s Final Rule on Defining “Dealer” and “Government Securities Dealer”
Read MorePosted by UnitedAtlantic | financial conduct authority, UK financial professionals
In February 2024, the Financial Conduct Authority (FCA) fined Floris Jakobus Huisamen £31,800 and banned him from holding any regulated… Continue reading FCA Imposes £31,800 Fine and Prohibition on Floris Jakobus Huisamen for LCF Misconduct
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