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With Executive Order looming, Microsoft in talks to purchase TikTok. FinCEN issues new FAQ on CDD requirements for covered financial institutions. A pharmaceutical company and former executives settle SEC charges for non-GAAP reporting failures. A broker-dealer settles FINRA charges for supervisory failures involving contingency offerings.
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By Cadwalader CabinetWith Executive Order looming, Microsoft in talks to purchase TikTok. FinCEN issues new FAQ on CDD requirements for covered financial institutions. A pharmaceutical company and former executives settle SEC charges for non-GAAP reporting failures. A broker-dealer settles FINRA charges for supervisory failures involving contingency offerings.