Australian Superannuation Industry (Supervision) Act 1993 s29QC
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BMO Capital Markets in $40.6m settlement with SEC over bond sale supervision
SEC says BMO failed to properly supervise employees who sold certain bonds, but notes it has remediated lexicons, policies and training in this area.
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ASIC roundup: GenZ finance, investor alert list, and cybersecurity focus
The Australian Securities & Investments Commission’s latest actions and news, November 6 – 17, 2023.