See something, say something, is a popular slogan encouraging people to act if they observe something inappropriate. For regulated entities it is more than a popular notion. Those entities have a duty to “say something” if they “see something.” They …
Interactive Brokers Fined Over $38 Million for AML Violations Read More »
Co-Director of Enforcement Steven Peikin announced his resignation. Mr. Peikin joined the staff shortly after Chairman Clayton, from Sullivan and Cromwell. Consideration is being given to again directing that audit firms for foreign issues make available their audit work papers …
This Week In Securities Litigation (Week of August 10, 2020) Read More »