Like many jurisdictions around the world, the Qatar Financial Centre (QFC) has established compliance procedures that require legal entities registered or formed in the QFC to identify their ultimate beneficial owners (UBO)....more
Last month, the SEC Division of Examinations (the "Division"; formerly the "Office of Compliance Inspections and Examinations") released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are...more
4/15/2021
/ Cybersecurity ,
FinTech ,
Investment Adviser ,
Libor ,
Money Laundering ,
OCIE ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Standard of Conduct