关于「 investment advisor」的内容列表
The Securities Exchange Commission (SEC) announced charges against broker-dealer and investment advisor LPL Financial LLC for multiple violations of its Anti-Money Laundering (AML) program. LPL agreed to pay a $18 million civil penalty and promised to improve its anti-money laundering policies and procedures. The SEC order states that between May 2019 and December 2023, LPL suffered from chronic failures in its customer identification procedures, including failure to close accounts without prope...
Japanese investment advisory firm Metaplanet Inc. announced that it has completed the 11th phase of stock acquisition rights, raising a total of 10 billion yen (approximately 66 million US dollars).
On September 11, the Dealers Association found in its self-discipline management that some securities companies, in the process of carrying out investment advisory services for small and medium-sized banks, have problems such as controlling customer transactions, mixing self-operated and investment advisory services, and adjusting income and interest transfer between different accounts through disguised pools of funds. In order to strengthen the regulation of the bond market and promote the smoo...
