US: SEC Interpretation of Standard of Conduct for Investment Advisers
www.findknowdo.com/news/06/27/2019/cadwalader-attorneys-analyze-sec-interpretation-standard-conduct-investment-advisers?utm 0
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US: NYDFS and bank settle for $33 million over BSA/AML allegations
buckleyfirm.com/blog/2019-06-26/nydfs-and-japanese-bank-settle-33-million-over-bsaaml-allegations 0
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Jersey: Bank freezes 8,000 offshore accounts
economia.icaew.com/news/june-2019/lloyds-freezes-8000-offshore-accounts 0
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US: Fed concludes largest banks are well positioned to absorb economic shock
buckleyfirm.com/blog/2019-06-25/fed-concludes-largest-banks-are-well-positioned-absorb-economic-shock www.federalreserve.gov/newsevents/pressreleases/bcreg20190621a.htm 0
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US: Senate Banking Committee considers “Outside Perspectives” on collecting Beneficial Ownership Information
www.findknowdo.com/news/06/20/2019/senate-banking-committee-considers-outside-perspectives-collecting-beneficial?utm 0
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Venezuela: Central Bank creates “Exchange Desks” for Foreign Currency Trading
www.jdsupra.com/legalnews/central-bank-of-venezuela-creates-96006/ www.hklaw.com/en/insights/publications/2019/06/venezuela-update-june-21-2019 0
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UK: Treasury pays damages to Bank for unlawful sanctions
economia.icaew.com/news/june-2019/uk-government-settles-lawsuit-with-irans-bank-mellat www.bailii.org/uk/cases/UKSC/2013/39.html 0
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US: Broker-Dealer settles FINRA charges for failing to report Outside Activities
www.findknowdo.com/news/06/17/2019/broker-dealer-settles-finra-charges-failing-report-outside-activities?utmhttps://www.findknowdo.com/news/08/27/2019/finra-fines-general-securities-representatives-failing-disclose-outside-business?utm 0
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Risk Management: Cross border Product Intervention Powers & Design and Distribution Obligations in Financial Services
www.herbertsmithfreehills.com/latest-thinking/product-intervention-powers-and-design-and-distribution-obligations-in-fs See also:www.apiax.com/blog/how-financial-institutions-digitise-cross-border-compliance-frameworks/?utmwww.globalbankingandfinance.com/the-scope-and-complexities-of-risk-management-in-financial-services/ 0
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US: FINRA clarifies when Capital Acquisition Brokers may accept Equity Securities as Payment
www.findknowdo.com/news/06/07/2019/finra-clarifies-when-capital-acquisition-brokers-may-accept-equity-securities?utm 0
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