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Results: 1-10 of 501

FINRA Conducting Mutual Fund Sweep at Broker-Dealers to Assess Possible Overcharges
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

The Financial Industry Regulatory Authority publicized that it is conducting a sweep of broker-dealers to assess whether they are passing along


Two Related Broker-Dealers To Pay US $17 Million for Widespread AML Compliance Failures; Former AML Compliance Officer Also Sanctioned
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

Raymond James & Associates, Inc. (RJA), Raymond James Financial Services, Inc. (RJFS) and Linda Busby, the anti-money laundering compliance officer


PCAOB Re-Proposes Auditor Reporting Standard to Enhance Auditor Reports
  • Katten Muchin Rosenman LLP
  • USA
  • May 20 2016

On May 11, the Public Company Accounting Oversight Board (PCAOB) re-proposed its standard for information that auditors are required to provide in


Broker-Dealer Sanctioned by FINRA for Alleged Failure to Supervise Use of Flash Research Emails That Might Convey Nonpublic Information
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

The Financial Industry Regulatory Authority brought and settled charges against Stephens Inc., a broker-dealer, for not supervising "flash" emails


SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants
  • Katten Muchin Rosenman LLP
  • USA
  • May 13 2016

On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards (Rules). As reported in


SEC Deputy Chief Accountant Discusses Use of Non-GAAP Measures
  • Katten Muchin Rosenman LLP
  • USA
  • May 13 2016

In a May 5 speech at the 2016 Baruch College Financial Reporting Conference, Wesley Bricker, deputy chief accountant at the Securities and Exchange


Broker-Dealer Sanctioned US $25 Million by FINRA for Variable Annuity Sales Offenses
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2016

MetLife Securities, Inc. agreed to pay fines and restitution totaling US $25 million to resolve allegations by the Financial Industry Regulatory


Accounting Firm Sanctioned for Inadequate Surprise IA Custody Audit
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

Santos, Postal & Co. P.C., an accounting firm, and Joseph Scolaro, one of its partners, agreed to settle charges brought by the Securities and


UK FCA Advises on Implementation of Market Abuse Directive
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • May 1 2016

The UK Financial Conduct Authority published final rules on the Market Abuse Regulation scheduled to become effective in Europe on July 3, 2016. In


The DOJ FCPA Enforcement Plan and Guidance Encourages Voluntary Self-Disclosure and Cooperation in Exchange for Additional Mitigation Credit
  • Katten Muchin Rosenman LLP
  • USA
  • April 19 2016

On April 5, 2016, the Fraud Section of the U.S. Department of Justice's Criminal Division issued a much-awaited Enforcement Plan and Guidance