FiSolve‘s March 13th weekly financial and regulatory news updates:
- SEC and CFTC Announce MOU Between Agencies
- Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases
- CFTC Staff Issues Prediction Markets Advisory
- SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses
- SEC Sanctions Auditing Firm for Audit Failures
- ESMA Looks to Simplify Retail Investing and Enhance Accessibility
Read the full update here.
