SEC Enforcement Focus On Unregistered Non-US Banks Continues.
Mondaq Business Briefing › Nbr. 2011, January 2011
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Securities and Exchange Commission
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SEC Enforcement Focus On Unregistered Non-US Banks Continues.
The US Securities and Exchange Commission (SEC) recently announced its latest enforcement action against a non-US bank that was providing advisory and brokerage services to US residents--In the Matter of Banco Espirito Santo S.A., Sec Rel 9270 (Oct. 24, 2011)(BES Order). The consequences of noncomplia...
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