On Oct. 31, PCAOB fined Deloitte partners re Mexico subsidiary. Follows audit of Prestaciones Finmart, that was a subsidiary of US firm EZCORP. EZCORP was loan provider with operations in countries including US and Mexico. Galaz, Yamazaki, Ruiz Urquiza, S.C., known as Deloitte Mexico, Ricardo Agustín García Chagoyán, José Ignacio Valle Aparicio, Rubén Eduardo Guerrero Cervera. Alleged…
Read more
FINRA Regulatory Notice 18-37
On Oct. 31, FINRA issued 2019 renewals of BD/IA firms, branches. For broker-dealer, investment adviser firms, agent and IA reps, branch renewals. Timetable From Oct. 22, 2018, firm may file post-dated Form U5; BR Closing; in CRD/IARD. On Nov. 1, 2018, firm may begin submitting post-dated Form BDW; ADV-W filing. 2018 renewal program begins Nov.…
Read more