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SEA 1934 Rule 38a-1
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SEC Commissioner Mark Uyeda prepared and unscripted at NSCP conference
Commissioner tells annual gathering to prepare for additional workload caused by ‘overactive’ regulator.
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Deutsche Bank unit to pay $25m to settle SEC AML and greenwashing charges
Enforcement actions addressed a failure to develop a mutual fund AML programme along with misstatements in its ESG investment process.