The Public Finance Abuse Unit had a major year over year increase in enforcement actions, though overall number of enforcement actions at the SEC declined.
关于我们
Halyard Compliance? is a leading provider of highly customized compliance solutions for Broker-Dealers, Municipal Advisors, Funding Portals, FinTech, Crowdfunding companies and more. Our solutions are designed to assist financial institutions navigate an ever-changing sea of regulatory and business challenges. Our clients range in size from regional firms to multi-national organizations in the financial services sector. We provide an array of services, including ongoing support services, regulatory reviews, AML auditing, procedure construction, crisis management and much more. Broker-Dealers | Municipal Advisors | Funding Portals & Crowdfunding | Digital Currency & Money Service Businesses | FinTech | Anti-Money Laundering FINRA | SEC | MSRB | CFTC | NFA | FCA | Blue Sky | JOBS ACT | FINCEN | BSA | USA PATRIOT ACT And more...
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https://www.halyardcompliance.com
Halyard Compliance的外部链接
- 所属行业
- 金融服务
- 规模
- 2-10 人
- 总部
- Cincinnati，Ohio
- 类型
- 私人持股
- 创立
- 2009
- 领域
- Independent Consultant (AWC)、Gap Analysis and Procedure Construction、Anti-Money Laundering (AML)、Membership Applications、Crisis Management、Annual Reviews、Supervisory Control Reviews、Marketing Material Reviews、Ongoing Support Services、Capital Markets、Private Placements、Crowdfunding、Broker-Dealers、Funding Portals、Municipal Advisors、Investment Companies、Investment Advisors、Commodity Trading Advisors、Forex Dealers、Futures Commission Merchants、BDs和Elevating Compliance Programs (tm)
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Halyard Compliance员工
动态
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"The SEC must weigh in before FINRA can cast out one of its members, according to a court of appeals." https://lnkd.in/gJxN4KAZ #finra #sec #complianceofficers
Court Limits FINRA's Power to Expel Brokerages
thinkadvisor.com