In the first of our seasonal Holiday profiles, we look back at Tony McClements’ career from detective to joining the Fraud Squad to head of investigations in the BVI.
Certain broker-dealers must now compute customer and reserve deposit requirements, making required deposits into reserve accounts on a daily rather than weekly basis.
The SEC said the company understated the “All Other Compensation” portion of its CEO’s compensation by an average of 94 percent over three fiscal years.
Aligning training methods with brain science such as spaced repetition, active recall, and storytelling, will help candidates achieve success in high-stakes licensing exams.
The CFPB’s report underscores its commitment to addressing growing data privacy challenges and consumer expectations of how they will be handled by businesses.
We take a look at the environmental and social costs of TikTok, including its carbon footprint and the role of finfluencers in sharing non-compliant financial promotions.
Assessing proposals to make the remuneration regime for banks “more effective, simple and proportionate”, while still ensuring accountability for risk taking and appropriate outcomes for consumers and markets.
The rule requires broker-dealers, securities-based swap dealers, exchanges, clearing agencies, and other SROs to submit forms in certain electronic formats.
