May 14, 2021 10:25:03 AM
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May 14, 2021 10:25:03 AM
Compliance Week: A Colorado-based broker-dealer will pay $1.5 million as part of a settlement with the Securities and Exchange Commission (SEC) announced for lapses in the filing of suspicious activity reports (SARs) related to the threat of cyber-breaches.
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Montreal
1080 Côte du Beaver Hall, Suite 904
Montreal, QC
Canada, H2Z 1S8
+1-450-465-8880
Halifax
168 Hobsons Lake Drive Suite 301
Beechville, NS
Canada, B3S 0G4
Tel: +1 902 429 8880
Manila
10th Floor, Two Ecom Center
Mall of Asia Complex
Harbor Dr, Pasay, 1300 Metro Manila
Philippines
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Level 15 Grosvenor Place
225 George Street, Sydney NSW 2000
Australia
Tel: +61 (2) 8823 3370
Abu Dhabi
Floor No. 15 Al Sarab Tower,
Adgm Square,
Al Maryah Island, Abu Dhabi, UAE
Tel: +971 (2) 694 8510
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