Division of Examinations Issues Risk Alert on Securities Investment that Finance Communist Chinese Military Companies
By EsqSocial Corporation 11/01/21
On January 6, 2021, the Division of Examinations (“Division”) issued a Risk Alert to notify investment advisers, broker-dealers, and other market participants of a recent action relating to investments in securities associated with Communist Chinese military companies, as well as investors transacting in such securities. Why We are Sending this Alert: Investment advisers, broker-dealers, and other market participants should know that effective as of January 11, 2021 at 9:30 a.m. EST, U.S....
By: Foley & Lardner LLP