The Commission settled two failure to supervise cases with Nomura Securities International, Inc. In the Matter of Nomura Securities International, Inc., Adm. Proc. File No. 3-19248 (July 15, 2019); In the Matter of Nomura Securities International, Inc., Adm. Proc. File …
Month: July 2019
Lessons in Handling Digital Assets, Cyber Security
The intersection of digital assets and existing regulatory schemes, such as the federal securities laws and those involving money laundering, are critical issues as reflected by the announcement from the Treasury Secretary yesterday regarding money laundering and FinCEN and as …
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