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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