Day: October 16, 2023

Written by FinCrime

Restart of Venezuela, opposition talks could lead to US sanction relief

Reported by Mayela Armas, Matt Spetalnick and Marianna Parraga Venezuela’s government and opposition plan to resume long-suspended talks on Tuesday, and Washington is ready to ease sanctions if President Nicolas Maduro commits to an internationally monitored election next year, multiple sources said on Monday. The U.S. has long said it would lift some sanctions in […]

Written by FinCrime

The Latest in the SEC’s Off-Network Communications Enforcement Sweep

Reported by Katherine Doty Hanniford, Paul Monnin, and Albert Stieglitz, Jr. On September 29, 2023, the U.S. Securities and Exchange Commission (SEC) announced enforcement actions against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for what the SEC described as “widespread and longstanding failures to maintain and preserve electronic […]