Search for: "Matter of AML"
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18 Sep 2020, 2:35 pm
Guyana and Venezuela have had a 120-year dispute over their boundary and now the matter is in the International Court of Justice (ICJ). [read post]
26 Sep 2023, 11:20 am
The SEC’s September 25, 2023, cease-and- desist order in connection with the ESG matter can be found here. [read post]
1 Apr 2009, 1:49 pm
Investors can also benefit from reviewing the recommendations in Sound Practices as they consider operational, governance and other matters as part of their diligence when making an investment. [read post]
18 Sep 2020, 2:35 pm
Guyana and Venezuela have had a 120-year dispute over their boundary and now the matter is in the International Court of Justice (ICJ). [read post]
15 Jul 2016, 6:22 am
Harty, Davis Polk & Wardwell LLP, on Thursday, July 14, 2016 Tags: Antitrust, Disclosure, FTC, Hart-Scott-Rodino Act, Securities enforcement, Securities regulation Four Takeaways from Proxy Season 2016 Posted by Ann Yerger, EY Center for Board Matters, Ernst & Young LLP, on Thursday, July 14, 2016 Tags: Board composition, Board leadership, Boards of Directors, Engagement, ESG, Executive Compensation,Institutional Investors, Proxy access, Proxy disclosure, Proxy season, Say on… [read post]
2 Apr 2021, 12:45 pm
Tirol came to FinCEN after overseeing DOJ’s Public Integrity Section prosecuting public corruption matters. [read post]
21 Nov 2016, 1:28 pm
All exception reports produced by the Coinbase AML system, and all records of investigation of such exceptions. [read post]
2 Apr 2021, 12:45 pm
Tirol came to FinCEN after overseeing DOJ’s Public Integrity Section prosecuting public corruption matters. [read post]
16 Mar 2022, 9:20 am
Use of a CVC or other foreign MSB located in a high-risk jurisdiction with known AML or CFT deficiencies. [read post]
7 Oct 2020, 9:07 am
AML – understanding the application of relevant anti-money laundering (AML) and know-your-customer (KYC) regimes, whether in order to meet requirements imposed as a matter of law or as a means to manage regulatory and commercial risk (see Unlocking the blockchain – A global legal and regulatory guide: Identity use cases and privacy implications for further information). [read post]
4 Mar 2021, 8:24 am
Anti-Money Laundering EXAMS will continue to focus on firms’ AML programs. [read post]
15 Dec 2022, 8:00 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
15 Dec 2022, 4:00 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
27 Jun 2023, 8:27 am
As reported in a Hunton Client Alert last week, on June 6, 2023, the Federal Deposit Insurance Corporation (“FDIC”), the Board of Governors of the Federal Reserve System (“FRB”) and the Office of the Comptroller of the Currency (“OCC”) (collectively, the “Agencies”) issued final guidance on managing risks associated with third-party relationships, including relationships with fintechs (the “Final Guidance”).1 Effective as of… [read post]
5 Dec 2020, 12:58 pm
" The conference report expresses Congress’ aim to “close[] significant AML-CFT gaps, including by adding the trade in antiquities to coverage under the BSA. [read post]
30 Jan 2017, 6:32 pm
He also addresses cases before the Committee on Foreign Investment in the United States (CFIUS), anti-money laundering (AML), and Bank Secrecy Act (BSA) matters, USA PATRIOT Act, Gramm-Leach-Bliley Act and Dodd-Frank Act compliance issues, as well as other banking-related regulatory, defense and security matters.Prof. [read post]
23 Jun 2023, 3:11 am
We expect this trend to continue, with the SFO focusing on fewer more significant matters. [read post]
1 Feb 2024, 10:46 am
Other items to be aware about – AML/KYC (standard in subscription documents, though there should be heightened AML/KYC practices when launching a tokenized product), adequate description of conflicts of interest, whether the fund will be subject to ERISA, making sure marketing materials are accurate, etc. [read post]
29 May 2019, 5:06 pm
The data, which spans from January 2009 to September 2018, indicates 97 percent of the bitcoin laundered through cryptocurrency trading platforms ends up in countries with lenient AML regulations. [read post]
27 Oct 2017, 2:16 am
CFTC Matters: CFTC Grants SEF and DCO Registration to LedgerX. [read post]
