Reynolds Holding

APRIL 13, 2022

Exams will focus on, among other things, (i) private funds, (ii) broker-dealers, (iii) Environmental, Social, and Governance (ESG) or impact investing, (iv) financial technology (FinTech) and crypto-assets, and (v) information security (InfoSec) and operational resiliency.

Compliance 45

Compliance Marketability Market Risk Technology 45

Reynolds Holding

SEPTEMBER 9, 2022

The Securities Act of 1933 was about companies raising money from the public. That statute covered intermediaries, such as the exchanges themselves and the broker-dealers. They understood that, when advisers manage someone else’s money, there may be additional opportunities for conflicts of interest between those advisers and clients.

Marketability 49

Marketability Compliance Start-ups Banking 49

Reynolds Holding

APRIL 26, 2022

Fixed income markets, particularly government securities, money markets, and repurchase agreements (“repos”), are integral to how central banks around the globe administer monetary policy. government and as taxpayers, raise money: We are the issuer. 3] That’s right — America turns more to bonds than to banks to fund their projects. [4].

Marketability 45

Marketability Treasury Banking Compliance 45

Reynolds Holding

APRIL 3, 2024

5] Despite the negative attention, OCA, through conversations after the SAB’s issuance, has broadened its scope to cover all registered broker-dealers. 5] Despite the negative attention, OCA, through conversations after the SAB’s issuance, has broadened its scope to cover all registered broker-dealers. So everybody silently complies.

Start-ups 45

Start-ups Banking Marketability Compliance 45

Reynolds Holding

MAY 9, 2022

government raised money from the public through “Liberty Bonds,” marketed on posters featuring Uncle Sam. These statutes created requirements and regulations around disclosure, registration, exchanges, and broker-dealers, and established the SEC to oversee the markets. It helps us determine the size of fines for enforcement actions.

Marketability 45

Marketability Treasury Start-ups Banking 45

Reynolds Holding

NOVEMBER 15, 2022

Money ordered in SEC actions, comprising civil penalties, disgorgement, and pre-judgment interest, totaled $6.439 billion, the most on record in SEC history and up from $3.852 billion in fiscal year 2021. Of the total money ordered, civil penalties, at $4.194 billion, were also the highest on record. “A billion, including a record $4.2

Compliance 45

Compliance Marketability Technology Alpha 45

Reynolds Holding

JULY 27, 2022

I would like to address three topics: first, I will touch on three areas of particular interest to our Division; second, I’ll mention two specific developments confronting the investment management industry in the coming months; and, third, I’ll focus on one of our largest projects and a topic of recurring interest, money market funds. * * *.

Banking 45

Banking Marketability Finance Corporate Finance 45