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30 Jan 2020, 3:25 pm
Because OCIE often has faced challenges examining the nearly 1,000 offshore RIAs, due to strict data protection and privacy laws, OCIE also is tightening its requirements for non-U.S. [read post]
16 Jan 2020, 10:43 pm
He also forfeited $1 billion in personal assets, including bank accounts, aircraft, real estate, vehicles, horses, and watches. [read post]
13 Jan 2020, 2:41 pm
Of course, OCIE will also continue to examine for compliance with testing and other AML compliance program requirements under the Bank Secrecy Act. [read post]
1 Nov 2019, 6:00 am
Stein, Latham & Watkins LLP, on Thursday, October 31, 2019 Tags: Boards of Directors, Capital structure, Disclosure, IPO Spinning, IPOs, Management, Mergers & acquisitions, Registration statements, Securities Act, Spinoffs, Taxation Mechanisms of Market Efficiency Posted by Kathryn Judge (Columbia Law School), on Thursday, October 31, 2019 Tags: Banks, CDOs, Financial institutions, Financial… [read post]
16 Jul 2019, 10:18 am
SEC’s Office of Compliance Inspections and Examinations (“OCIE”) Issues Risk Alert. [read post]
4 Jun 2019, 5:37 am
OCIE strives to embrace potentials for increased efficiencies and cost reductions, he concluded. [read post]
16 Apr 2019, 9:44 am
The program will be held at the Federal Reserve Bank of Chicago from 9 a.m. to 3 p.m. [read post]
31 Jan 2019, 2:03 pm
John Reed Stark As cybersecurity has become an increasingly important consideration for all corporate operations, one of the most pernicious problems has been the rise of so-called “ransomware” attacks – that is, systems breaches in which hackers take control of corporate networks and demand ransom payments as a condition of unlocking the systems. [read post]
31 Jan 2019, 1:12 pm
OCIE notes that, under the Bank Secrecy Act, anti-money laundering policies must feature policies and procedures reasonably tailored to confirm customer identities, carry out customer due diligence, and examine clients for suspicious activity. [read post]
30 Jan 2019, 3:23 pm
., high net worth individuals, banks, insurance companies, brokers, and trusts). [read post]
24 Jan 2019, 2:36 pm
John Reed Stark Among the agencies largely closed by the current partial U.S. federal government shutdown is the U.S. [read post]
31 Dec 2018, 7:50 am
OCI is a permanent, non-deletable messaging system for parents to communicate after separation. [read post]
17 Dec 2018, 8:05 am
Features include digital in-take form, real-time download of bank and credit card transactions for instant cash-flow, and documents attached to assets and debts. [read post]
9 Mar 2018, 6:06 am
Regulating Proxy Advisors is Anticompetitive, Counterproductive, and Possibly Unconstitutional Posted by Nell Minow, ValueEdge Advisors, on Friday, March 2, 2018 Tags: Boards of Directors, Corporate Governance Reform and Transparency Act, Institutional Investors, ISS, Proxy advisors, Securities regulation, Shareholder voting The Misuse of Tobin’s Q Posted by Robert Bartlett (UC Berkeley School of Law) and Frank Partnoy (University of San Diego… [read post]
17 Nov 2017, 6:00 am
That bank is now cooperating with the plaintiffs in the massive civil action, and is providing an in-depth look into how Wall Street allegedly conspired to rig Treasury bond trades. [read post]
27 Oct 2017, 6:24 am
Driscoll was named as OCIE’s first Chief Risk and Strategy Officer in March 2016 after previously serving as OCIE’s Managing Executive from February 2013 through February 2016. [read post]
27 Oct 2017, 2:16 am
The People’s Bank of China (“PBoC”), China’s central bank and financial regulator, announced an immediate ban of ICOs within China. [read post]
23 Oct 2017, 4:22 pm
”[19] In early 2017, the New York State Department of Financial Services (“NYDFS”) enacted game-changing regulations which establish new standards for corporate cybersecurity practices.[20] The rules, which went into effect on March 1, 2017, apply to any person operating under or required to operate under a license, registration, charter, certificate, permit, accreditation or similar authorization under the Banking Law, the Insurance Law or the Financial Services… [read post]
23 Oct 2017, 4:22 pm
”[19] In early 2017, the New York State Department of Financial Services (“NYDFS”) enacted game-changing regulations which establish new standards for corporate cybersecurity practices.[20] The rules, which went into effect on March 1, 2017, apply to any person operating under or required to operate under a license, registration, charter, certificate, permit, accreditation or similar authorization under the Banking Law, the Insurance Law or the Financial Services… [read post]
19 May 2017, 6:00 am
Cybersecurity: Ransomware Alert from SEC’s OCIE Starting on May 12, 2017, a widespread ransomware attack, known as WannaCry, WCry, or Wanna Decryptor, rapidly affected numerous organizations across over one hundred countries. [read post]
