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Posts taggedRegulatory (Page 213)
www.findknowdo.com/news/05/02/2019/ofac-provides-guidance-sanctions-compliance-programs?utmwww.mayerbrown.com/en/perspectives-events/publications/2019/05/ofac-issues-first-formal-guidance-framework-on-sanctions-compliance-programswww.eversheds-sutherland.com/global/en/what/articles/index.page?ArticleID=en/Fraud_and_financial_crime/OFAC_publish_guidance_on_effective_Sanctions_Compliance_Programswww.jdsupra.com/legalnews/ofac-publishes-a-framework-for-36445/home.treasury.gov/news/press-releases/sm680www.jdsupra.com/legalnews/ofac-s-5-essential-components-of-an-47872/ www.hoganlovells.com/en/publications/ofac-outlines-expectations-for-global-sanctions-compliancewww.cliffordchance.com/hubs/regulatory-investigations-financial-crime-insights/our-insights/new-guidance-from-ofac-a-framework-for-pfac-compliance.htm Click to access framework_ofac_cc.pdf www.kslaw.com/blog-posts/ofac-publishes-a-framework-for-compliance-commitments-2 www.srz.com/resources/ofac-update-a-framework-for-compliance-and-recent-settlements.html See also:www.quarles.com/publications/is-ofac-the-new-sheriff-in-town/ 0
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June 3, 2019 webmaster
Regulatory, Sanctions, US
www.tradesecretslaw.com/2019/04/articles/trade-secrets/finra-issues-guidance-on-the-handling-of-customers-when-a-broker-leaves-a-firm/www.kslaw.com/news-and-insights/safe-and-sound-finra-and-the-sec-issue-guidance-on-handling-customer-information-and-communicationswww.manatt.com/Insights/Newsletters/Financial-Services-Law/From-SEC-to-FinCEN-Enforcement-Everywhere 0
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May 31, 2019 webmaster
Banking, Regulatory, US
www.pepperlaw.com/publications/legal-considerations-for-establishing-operations-in-the-united-states-2019-04-29/www.wengervieli.ch/getattachment/94b18c79-9599-4b37-8979-12ca0ef02901/WV_Guidelines_Expansion-into-the-USA_Tax_EN_FINAL.pdf.aspx 0
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May 29, 2019 webmaster
Family Business, Regulatory, US
www.rpc.co.uk/perspectives/professional-and-financial-risks/court-of-appeal-considers-the-test-for-dishonest-assistance-following-ivey/www.finance-disputes.co.uk/2019/04/the-employment-appeal-tribunal-provides-guidance-on-the-fcas-fit-and-proper-person-test/ 0
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May 27, 2019 webmaster
Regulatory, UK
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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May 17, 2019 webmaster
Crypto Currencies, Regulatory, US
united-kingdom.taylorwessing.com/en/insights/fsr-update/fca-imposes-second-largest-ever-aml-fine-on-standard-chartered-bank www.womblebonddickinson.com/uk/insights/articles-and-briefings/know-your-overseas-offices-lessons-aml 0
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May 16, 2019 webmaster
Money Laundring, Regulatory, UK
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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May 14, 2019 webmaster
Crypto Currencies, Regulatory, US
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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May 10, 2019 webmaster
Regulatory, Risk Management, UK
www.linklaters.com/en/insights/publications/2019/april/eu27-contingency-plans-for-no-deal-brexit-financial-services-update 0
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May 9, 2019 webmaster
European Union, Regulatory, UK
www.findknowdo.com/news/04/11/2019/sec-approve-non-transparent-etf-proposal?utm_campaign=Cabinet%20Newsletter&utm_source=Newsletter&utm_medium=Email 0
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May 7, 2019 webmaster
ETFs, Funds, Investment Funds, Regulatory, US
