Search for: "Matter of AML"
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24 Jun 2009, 2:39 am
I actually began my legal career as an antitrust lawyer and I though there has so far been no call for it on our China matters, I have very much tried to keep up with China's slowly developing antitrust laws. [read post]
16 Jan 2018, 1:13 pm
The rule amends existing BSA/AML regulations to augment customer due diligence (CDD) requirements regarding legal entity customers. [read post]
2 Apr 2009, 2:01 pm
We call on all jurisdictions to adhere to the international standards in the prudential, tax, and AML/CFT areas. [read post]
29 Jun 2018, 10:10 am
ATS Registration Overview for Digital Asset Platforms Digital asset platforms located in the U.S. that facilitate trading and exchange of digital assets (which are deemed to be securities) are generally subject to securities laws requiring such platforms to be registered as a national securities exchange (“NSE”) or fall within an exemption from NSE registration. [read post]
7 Nov 2016, 6:30 am
For example, CABs must still: (1) satisfy all 1934 Act financial requirements, such as obtaining an annual audit from an independent CPA and complying at all times with the SEC’s net capital rule; (2) comply with all of FINRA’s general books and records requirements; (3) license all of its associated persons (i.e., CAB registration in no way lessens the burden on a CAB’s associated persons to take and pass “Series” exams (and comply with ongoing “continuing… [read post]
1 Aug 2022, 3:53 am
The changes include the way in which witnesses are shown documents (and which documents they are shown); requiring full notes to be taken of all interviews with witnesses and a focus on matters of fact of which the witness has personal knowledge. [read post]
14 Mar 2022, 7:47 am
For the SEC, the question of whether the agency will regulate cryptocurrency exchanges is not a matter of if, but when. [read post]
25 May 2023, 6:05 am
Remittances are the largest and most important flow of money into Somalia; any constraint would be a matter of life or death for the most vulnerable Somalis. [read post]
17 Feb 2017, 8:39 am
The impacts touched on both the interpretation of the clause but also complex issues of jurisdiction of courts seized with jurisdiction in or around the matter in other jurisdictions. [read post]
5 Sep 2019, 1:37 am
N18C-08-315 AML CCLD, 2019 WL 3453232 (Del. [read post]
21 Mar 2023, 2:15 pm
(Desirability is another matter...) [read post]
6 Nov 2020, 7:08 am
It is an EU onshore jurisdiction and in coming to Ireland parties must consider relevant laws and regulations relating to certain Irish legal and regulatory matters, along with any relevant tax issues, in connection with any particular transaction involving Irish assets. [read post]
7 Jan 2022, 2:20 pm
Tether Holdings Limited – In resolving yet another cryptocurrency matter, the CFTC recovered $41 million from Tether Holdings Limited over its issuance of “Tether Token. [read post]
18 Aug 2023, 3:43 am
This followed suit from the FCA’s decision to fine the UK subsidiary of India’s Canara bank in the UK for anti-money laundering breaches, which it said were attributable to the bank’s choice to second staff from its head office in India, who did not properly understand British legal and regulatory anti-money laundering (AML) requirements, to fill senior management positions in the UK. [1] In light of the above, it is of particular importance that international… [read post]
7 Jan 2022, 2:20 pm
Tether Holdings Limited – In resolving yet another cryptocurrency matter, the CFTC recovered $41 million from Tether Holdings Limited over its issuance of “Tether Token. [read post]
19 Jan 2022, 1:21 pm
IRS Criminal Investigation is currently investigating this matter. [read post]
19 Jan 2022, 1:21 pm
IRS Criminal Investigation is currently investigating this matter. [read post]
27 Jun 2018, 6:34 pm
Software Debacle R17 – stop BCLC from spending money on the SAS AML software system. [read post]
15 Mar 2021, 8:08 am
Record maintenance and report obligations created by the BSA “have a high degree of usefulness in criminal, tax, and regulatory matters,” and those documents “are heavily used by law enforcement agencies, both domestic and international, to identify, detect and deter money laundering. [read post]
7 Feb 2023, 4:24 am
These requirements will cover areas such as: ownership, governance and management, financial resources requirements, risk management, AML/CFT, user protection, and regular audits and disclosure requirements; maintenance of reserve assets and redemption, whereby the value of the reserve assets of an In-scope Stablecoin arrangement should meet the value of the outstanding stablecoins at all times. [read post]
