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updates.kramerlevin.com/cv/edbaa681f9205601632de4d7f5784dfba191c31d Click to access enf20170420a2.pdf 0
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May 24, 2017 webmaster
Banking, Regulatory, Risk Management, US
www.bassberry.com/publications/2017/05/update-finra-regulatory-and-examination-priorities 0
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May 22, 2017 webmaster
Banking, Regulatory, Risk Management, US
www.nasdaq.com/article/sec-approves-quadruple-leveraged-etfs-cm784383 0
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May 19, 2017 webmaster
Banking, ETFs, Funds, Regulatory, US
www.dlapiper.com/en/uk/insights/publications/2017/05/dawn-raids-are-you-prepared/ knowledge.freshfields.com/en/Global/r/1865/prepare__react__review___10_top_tips_for_dawn_raids_by Click to access Dawn_Raid_Top_Tips.pdf bit.ly/2qEoaXc Let us in! | RPC What To Do In A Dawn Raid: Handling Investigations (eldwicklaw.com) competitionlawinsights.twobirds.com/post/102j5wm/forensic-finesse-navigating-competition-and-regulatory-dawn-raids-and-requests-f#page=1 See also: bit.ly/2scNtMO www.schoenherr.eu/publications/publication-detail/are-you-ready-for-the-tax-and-employment-authorities-dawn-raids-romania/ 0
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May 18, 2017 webmaster
Litigation, Regulatory, Risk Management
www.sidley.com/en/insights/newsupdates/2017/05/mifid-ii-2016-update www.shearman.com/en/newsinsights/publications/2017/09/mifid-ii-for-non-eu-investment-banks-and-brokers Update: www.shearman.com/en/perspectives/2023/03/mifid-ii–an-update-on-the-rules-for-unbundling-of-research ESMA_Guidelines_on_Certain_Aspects_of_MiFID_II_v2.pdf (algoodbody.com) ESMA_Guidelines_on_MiFID_II_v2.pdf (algoodbody.com) Click to access mifid-ii-mifr-reform.pdf 0
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May 18, 2017 webmaster
European Union, Regulatory
bit.ly/2pShNLY See also: bit.ly/2pShNLY www.controlrisks.com/our-thinking/insights/leveraging-corporate-investigators-in-asset-recovery#page=1 0
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May 17, 2017 webmaster
Regulatory, Risk Management, US
Click to access 2017-04-27-aml-trends-and-developments.pdf Update: www.arnoldporter.com/en/perspectives/publications/2018/02/time-to-reevaluate-antimoney-laundering-compliance www.wilmerhale.com/en/insights/client-alerts/20190725-anti-money-laundering-and-sanctions-trends-and-developments-emerging-under-the-trump-administration See also: www.tradesanctions.com/nearly-75-percent-ofac-penalties-one-commonality/#page=1 0
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May 15, 2017 webmaster
Banking, Money Laundring, Regulatory, Risk Management, Sanctions, US
Click to access International-Banks-Regulatory-Reporting.pdf Click to access regulatory-reporting-inspection-report.pdf 0
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May 15, 2017 webmaster
Banking, Ireland, Regulatory
www.twobirds.com/en/news/articles/2017/hong-kong/the-introduction-of-the-manager-in-charge-regime-in-hong-kong Update: sites.herbertsmithfreehills.vuturevx.com/103/14510/compose-email/asset-managers-and-their-senior-management-(including-mics)-warned-of-action-for-regulatory-non-compliance.asp 0
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May 15, 2017 webmaster
Hong Kong, Regulatory, Risk Management
www.fincen.gov/news/news-releases/fincen-and-manhattan-us-attorney-announce-settlement-former-moneygram-executive www.sidley.com/en/insights/newsupdates/2015/01/fincen-seeks-civil-money-penalty-and-injunction-against-former-chief-compliance-officer-of-moneygram www.crowell.com/NewsEvents/AlertsNewsletters/all/A-250-000-Settlement-with-FinCEN-Puts-AML-Compliance-Officers-in-the-Cross-Hairs 0
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May 12, 2017 webmaster
Money Laundring, Regulatory, Risk Management