PAUSE: SEC UPDATES WARNING LIST OF INVESTMENT BUSINESSES USING INACCURATE INFORMATION TO SOLICIT INVESTMENTS

On 24 February, a release announced that the SEC had updated its PAUSE List, adding 25 soliciting entities and 4 fictitious regulators.   The SEC also announced enhancements to the PAUSE website, where the SEC provides the list of entities that falsely claim to be registered, licensed, and/or located in the US, as well as entities that impersonate genuine US-registered securities firms and fictitious regulators, governmental agencies, or international organisations.

https://mondovisione.com/media-and-resources/news/sec-updates-list-of-firms-using-inaccurate-information-to-solicit-investors-en/

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Author: raytodd2017

Chartered Legal Executive and former senior manager with Isle of Man Customs and Excise, where I was (amongst other things) Sanctions Officer (for UN/EU sanctions), Export Licensing Officer and Manager of the Legal-Library & Collectorate Support Section

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