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US: Virtual Currency “Exchanger” Settles FinCEN AML Violations

www.findknowdo.com/news/04/18/2019/virtual-currency-exchanger-settles-fincen-aml-violationswww.blockchainlegalresource.com/2019/04/fincen-announces-first-enforcement-action-against-peer-to-peer-virtual-currency-exchange/buckleyfirm.com/blog/2019-04-23/fincen-virtual-currency-exchanger-agree-penalty-bsaaml-violationsmofotech.mofo.com/topics/In-a-First-FinCEN-Assesses-Civil-Money-Penalty-Against-Peer-to-Peer-Virtual-Currency-Exchanger.htmlwww.srz.com/resources/fincen-assesses-civil-money-penalty-against-p2p-currency.htmlwww.omm.com/resources/alerts-and-publications/alerts/fincen-cryptocurrency-aml-enforcement/jenner.com/library/publications/18848blockchain.bakermckenzie.com/2019/04/23/fincens-first-enforcement-action-against-p2p-virtual-currency-exchanger/www.fincen.gov/news/news-releases/fincen-penalizes-peer-peer-virtual-currency-exchanger-violations-anti-money 0
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US: New SEC Token Guidance on when a digital asset is a security

bit.ly/2Ekgqynwww.dechert.com/knowledge/onpoint/2019/4/sec-staff-announces-guidance-and-no-action-relief-regarding-stat.html www.skadden.com/insights/publications/2019/04/the-distributed-ledger#secreleaseswww.steptoeblockchainblog.com/2019/04/sec-smooths-out-digital-assets-turbulence-with-further-guidance/www.sec.gov/corpfin/framework-investment-contract-analysis-digital-assetswww.velaw.com/insights/the-sec-reaffirms-its-stance-most-tokens-are-securities/ See also:www.secactions.com/mtokens-dmg-tokens-both-securities/ 0
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UK: FCA Business Plan 2019/2020

www.tltsolicitors.com/insights-and-events/insight/fca-business-plan-20192020—an-overview/www.ropesgray.com/en/newsroom/alerts/2019/04/FCA-2019-20-Business-plan-released-highlighting-conduct-supervision-and-financial-crime-as-key-focusriskandcompliance.freshfields.com/post/102fitk/fca-business-plan-flags-potential-enforcement-targetswww.natlawreview.com/article/fca-publishes-201920-business-planwww.finance-disputes.co.uk/2019/04/fca-publishes-2019-20-business-plan/www.hoganlovells.com/en/blogs/fision/fca-business-plan-201920-looking-ahead-to-post-brexit-future-of-regulationwww.tltsolicitors.com/insights-and-events/insight/spotlight-on-operational-resilience-fca-priorities-series-part-4/www.kingsleynapley.co.uk/insights/blogs/criminal-law-blog/fca-business-plan-2019-20-priority-to-make-the-uks-financial-markets-a-difficult-target-for-criminals www.tltsolicitors.com/insights-and-events/insight/fair-treatment-of-existing-customers-fca-priorities-series-part-11/ www.fca.org.uk/publications/corporate-documents/our-business-plan-2019-20See also:digital.freshfields.com/post/102fizp/fca-update-on-cryptoasset-regulation-and-regtech 0
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UK: FCA guidance on SM&CR Statements of Responsibilities and Responsibilities Maps for solo-regulated firms

www.macfarlanes.com/what-we-think/in-depth/2019/investment-management-update-13-march-2019/#SMCRwww.fca.org.uk/publications/finalised-guidance/fg19-2-smcr-guidance-statements-responsibilities-and-responsibilities-maps www.bakermckenzie.com/en/insight/publications/2019/04/senior-managers-and-certification-regime www.shlegal.com/insights/sm-cr-extension-issues-for-solo-regulated-firms-to-consider-as-implementation-date-approacheswww.ukemploymenthub.com/smcr-optimisation-and-final-rules www.tltsolicitors.com/insights-and-events/insight/does-the-smcr-need-more-teeth-fca-priorities-series-part-2/ Update:www.jdsupra.com/legalnews/fca-confirms-smcr-optimisations-86045/hsfnotes.com/fsrandcorpcrime/2019/08/05/fca-publishes-latest-policy-statement-and-near-final-rules-on-smcr/ www.shlegal.com/insights/fca-publishes-final-rules-confirming-amendments-to-the-smcr www.rpc.co.uk/perspectives/financial-services-regulatory-and-risk/the-senior-managers-and-certification-regime-the-final-countdown/ www.osborneclarke.com/insights/fca-finalises-senior-manager-certification-regime-rules-solo-regulated-firms/ Banking Standards Board publishes guidance on regulatory references www.natlawreview.com/article/fca-provides-updated-information-smcr-implementation www.dentons.com/en/insights/alerts/2020/september/21/six-weeks-to-go-frequently-asked-questions-on-the-new-conduct-rules-breaches-reporthsfnotes.com/insurance/2023/04/05/review-of-smcr-launched/#page=1cms-lawnow.com/en/regzone/articles/2023/04/review-of-the-senior-managers-and-certification-regime-sm-cr www.ashurst.com/en/news-and-insights/legal-updates/smcr-call-for-evidence-the-reform-that-no-one-wants-and-no-one-asked-for/ See also:www.jdsupra.com/legalnews/fca-warns-of-significant-weaknesses-in-45280/ www.hoganlovells.com/en/blogs/fision/fca-to-increase-focus-on-smcr-conduct-rules blogs.dlapiper.com/globalfinance/2019/08/07/fca-publishes-findings-of-senior-managers-and-certification-regime-stocktake-report/ shepwedd.com/knowledge/are-you-smcr-ready-your-10-point-hr-guide-new-senior-managers-and-certification-regime www.morganlewis.com/pubs/uk-financial-conduct-authority-publishes-final-rules-on-extending-smcr-to-solo-regulated-firms Click to access smcr—third-mover-advantage—rc.pdf www.ukemploymenthub.com/update-fca-publishes-further-information-on-the-smcr-for-solo-regulated-firms#page=1 gowlingwlg.com/en/insights-resources/articles/2019/fca-publishes-final-rules-on-extension-of-the-smcr/ www.bclplaw.com/en-GB/insights/senior-manager-accountability-five-steps-to-protect-yourself.htmlblog.macfarlanes.com/post/102id8v/pra-takes-enforcement-action-under-the-senior-managers-certification-regimewww.dentons.com/en/insights/articles/2023/april/28/lessons-for-senior-managers-to-learn-from-tsb-it-migration-enforcement-action Update:www.finance-disputes.co.uk/2020/08/the-fcas-conduct-rules-the-new-requirement-to-report/#page=1 www.globalfinregblog.com/2020/08/smcr-fca-updates-expectations-on-fitness-and-propriety-assessments-and-conduct-rules-training/#page=1 www.corporatefinancialweeklydigest.com/2020/08/articles/uk-developments/smcr-disciplinary-action-and-conduct-rules-reporting-for-staff-at-fca-regulated-firms/#page=1 www.morton-fraser.com/knowledge-hub/fca-new-guidance www.hilldickinson.com/insights/articles/senior-managers-and-certification-regimewww.foxwilliams.com/2021/02/10/certification-for-solo-regulated-firms-what-do-you-need-to-do-before-31-march-2021/www.morganlewis.com/pubs/2021/03/preparing-for-implementation-of-the-senior-managers-and-certification-regimewww.engage.hoganlovells.com/knowledgeservices/news/smcr-directory-of-certified-and-assessed-persons-have-you-submitted-your-datablog.burges-salmon.com/post/102gzoe/pra-publishes-policy-statement-on-temporary-long-term-absences-under-smcrblog.burges-salmon.com/post/102hhg5/fcas-clarification-on-smcr-regulatory-referencesdwfgroup.com/de-de/news-and-insights/insights/2022/11/consumer-duty-enforcementwww.engage.hoganlovells.com/knowledgeservices/viewContent.action?key=Ec8teaJ9VaoZ3Q729oWMJl7eOOGbnAEFKCLORG72fHz0%2BNbpi2jDfaB8lgiEyY1JAvAvaah9lF3dzoxprWhI6w%3D%3D&navbrodies.com/insights/family-law/embracing-equity-in-family-law/www.globalfinregblog.com/2023/03/uk-government-and-regulators-launch-smcr-review/#page=1rqcgroup.com/latest-insights/stakeholder-views-sought-on-smcr/legalbriefs.deloitte.com/post/102ibzv/edinburgh-reforms-underway-uk-government-and-the-regulators-commence-their-revie#page=1www.investmentlawwatch.com/2023/04/europe-heres-your-chance-to-improve-the-uks-senior-managers-certification-regime/#page=1www.taylorwessing.com/en/insights-and-events/insights/2023/04/review-of-the-senior-managers-and-certification-regimewww.shlegal.com/insights/reform-of-smcr-uk-government-and-regulators-commence-reviewwww.kingsleynapley.co.uk/insights/blogs/financial-services-blog/non-financial-misconduct-under-the-senior-managers-and-certification-regimewww.morganlewis.com/pubs/2023/04/uk-regulatory-changes-on-the-horizon-fca-pra-treasury-launch-review-of-smcrwww.ashurst.com/en/news-and-insights/legal-updates/will-the-smf-duty-of-responsibility-by-shelved-under-the-current-smcr-review/blog.burges-salmon.com/post/102idcb/smcr-a-spring-cleanriskandcompliance.freshfields.com/post/102idww/review-of-the-uk-senior-managers-certification-regime-the-increasing-focus-onquickreads.ext.katten.com/post/102iecr/hmt-and-regulators-move-forward-with-smcr-reviewwww.kingsleynapley.co.uk/insights/blogs/employment-law-blog/the-senior-managers-certification-regime-smcr-fitness-and-propriety#page=1www.ashurst.com/en/news-and-insights/legal-updates/smcr-reform-five-important-changes-that-need-to-be-made-to-the-uk-personal-accountability-regime/Dentons – The Financial Services and Markets Act 2023: The Senior Managers...
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