SEC
Oct 2, 2023
SEC Charges Investment Adviser Concord Management LLC and its Owner Michael Matlin for Unregistered Investment Advice
SEC
Oct 2, 2023
SEC Charges Tilila Walker Sumchai with Affinity Fraud Targeting Tongan American Community
SEC
Oct 2, 2023
SEC Approves New Rules to Revise Privacy Act Regulations
SEC
Oct 2, 2023
Securities and Exchange Commission Enhances Investment Company Act's Names Rule to Better Protect Investors
SEC
Oct 2, 2023
SEC Charges Mexico-Based Aras Investment Group and Individuals for Fraudulently Raising $15 Million From Retail Investors
SEC
Oct 2, 2023
SEC Sanctions Goldman Sachs for Failing to Provide Accurate Securities Trading Data
SEC
Oct 2, 2023
SEC Fines GTT Communications for Lack of Disclosure of Material Information
SEC
Oct 2, 2023
SEC Charges American Infrastructure Funds LLC with Violating Fiduciary Duty
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IT Security & Privacy
Dutch Regulator Disputes Apple's Commissions in Dating App Case
Risk & Resilience
Italy Presses AI Firms to Put “Hallucination” Risks Front & Center
Third-Party & Supply Chain
Bank of England, PRA, and FCA Collaborate on Strengthening Oversight of Critical Third Parties in Financial Services
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