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Friday May 14, 2021
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From the Regulators
ASC sanctions violation of cease trade order
A hearing panel ordered a fine, costs and a market ban, but not disgorgement
May 14, 2021

From the Regulators
Swiss insurer admits to enabling U.S. tax evasion
Company viewed increased U.S. enforcement against banks as a business opportunity, the DoJ said
May 14, 2021

From the Regulators
Standards setting for accounting, auditing facing review
An independent committee will make recommendations to ensure independence and integrity of process
May 14, 2021

From the Regulators
FCA seeks consumer duty standards
Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements
May 14, 2021

Research and Markets
U.S. retail sales were flat in April
The question is whether consumers will continue to spend without stimulus checks
May 14, 2021

Research and Markets
Wholesale and manufacturing sales climbed in March
Manufacturing sales hit their highest level since June 2019
May 14, 2021

Appointment Notices
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