November 2020 Regulatory Updates
Regulatory Actions and Updates from Around the Globe
Enforcement Highlights – November 2020
USA: The Securities and Exchange Commission of the United States charged Benja Inc., a San Francisco-based e-commerce startup, with defrauding investors, providing forged contracts and bank statements.
USA: The SEC filed actions against three investment advisory firms whose failure to implement written policies and procedures resulted in violations of the Investment Advisers Act in connection with sales of complex exchange-traded products.
Past events: Navigating the Complexities of Beneficial Ownership – The Challenges of UBO Due Diligence
Legal Entity Customer Due Diligence
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The CyberTech100 list for 2021 recognizes the world’s most innovative companies focused on helping financial institutions combat cyber threats and fraud
Regulatory actions and industry updates from financial authorities and regulators around the globe in April 2021
Thomson Reuters has launched its Marketplace, featuring a curated selection of software solutions for law firms, corporate law offices, and tax and accounting professionals