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Latest News
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SEC dings three broker-dealers for deficient SAR narratives
The SEC’s orders allege that the broker-dealers omitted key details in their SAR narratives.
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TD Bank pleads guilty to AML failures, receives record-smashing $3bn+ in penalties, growth cap
“By making its services convenient for criminals, TD Bank became one,” said Attorney General Merrick B Garland.
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SolarWinds and CISO defeat part of SEC’s fraud case over hack
Federal judge dismisses some claims against the software company relating to its 2020 breach disclosures.
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Treasury officials at beneficial ownership event show BOI working in action
US Treasury officials note how BOI stopped significant illicit money flows, and remind us of proposed rules on real estate transfers.
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SEC issues latest rule agenda, offering clues on stalled rules
The SEC’s 2024 agenda, released July 8, showcases the agency’s plans.
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Carewashing – another type of misleading claim your workforce (and the SEC) is tracking
The authors say exaggerative ‘carewashing’ type of marketing might not built trust and help retain skilled workers in the long run.
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SEC’s Gerding spells out the state of disclosure
Erik Gerding mentioned areas of focus last year and this year, underscoring the importance of disclosures in AI and cybersecurity.
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US appeals court strikes down SEC’s private fund rule
A US appeals court threw out the SEC’s private funds rule, handing a victory to the ever-expanding, nearly $27 trillion industry.