FiSolve‘s April 17th weekly financial and regulatory news updates:
- SEC Seeks Public Comment on Consolidated Audit Trail (CAT) and Related Data Sources
- FINRA Censures Member Firm for Supervisory and Compliance Deficiencies, AML Program Failures
- DOL Clarifies Enforcement Focus for Employee Benefits Plans
- SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market
Read the full update here.
