SEC UPDATED ITS LIST OF UNREGISTERED ENTITIES THAT USE MISLEADING INFORMATION TO SOLICIT PRIMARILY NON-US INVESTORS, ADDING 28 SOLICITING ENTITIES, 3 IMPERSONATORS OF GENUINE FIRMS, AND 6 BOGUS REGULATORS

On 21 January, a release on Mondo Visione advised the SEC Public Alert: Unregistered Soliciting Entities (PAUSE) list update.  Additions are firms that SEC staff found were providing inaccurate information about their affiliation, location, or registration.  Under US securities laws, firms that solicit investors generally are required to register with the SEC and meet minimum financial standards and disclosure, reporting, and recordkeeping requirements.

https://www.sec.gov/enforce/public-alerts

https://mondovisione.com/media-and-resources/news/sec-updates-list-of-firms-using-inaccurate-information-to-solicit-investors-4/

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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 View all posts by raytodd2017