Investment Banking
Regulation, Risk & Compliance
Uncategorized
Bank Leumi to Pay $1.6 Million for Illegal US Cross-Border Business
The US Securities and Exchange Commission has issued a statement saying that Israel-based Bank Leumi has agreed to admit wrongdoing and pay $1.6 million to settle charges that it provided investment advice and induced securities transactions for US customers for over a decade without registering as an investment adviser or…
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