On July 9, 2019, the United Kingdom’s Financial Conduct Authority (FCA) published its latest Enforcement annual performance report for the year 2018/19. This follows the publication of its final FCA Mission: Approach to...more
7/26/2019
/ Compliance ,
Corporate Investigations ,
Enforcement ,
Enforcement Statistics ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Information Reports ,
OCIE ,
Securities and Exchange Commission (SEC) ,
UK
The Share Class Initiative -
On February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure Initiative (Initiative), which informed SEC...more