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3 Jun 2018, 2:18 pm
” Thus, trading platforms are also requested to describe their anti-money laundering (AML) programs, their know-your-customer practices, the fiat and virtual currencies that they trade, and locations where they do and do not accept customers. [read post]
23 May 2018, 8:14 am
Brokerage Firms and AML Officer Charged With Anti-Money Laundering ViolationsThe SEC announced settled charges against broker-dealers Chardan Capital Markets LLC and Industrial and Commercial Bank of China Financial Services LLC (ICBCFS) for failing to report suspicious sales of billions of penny stock shares. [read post]
18 May 2018, 12:50 pm
According to the SEC, Constellation Healthcare Technologies Inc. [read post]
16 Apr 2018, 4:48 pm
Securities and Exchange Commission (SEC) charged two co-founders of Centra Tech, Inc., (Centra) a purported financial services start-up, with orchestrating a fraudulent initial coin offering (ICO), a term that is meant to describe the offer and sale of digital assets issued and distributed on a blockchain, that raised more than $32 million from thousands of investors. [read post]
5 Apr 2018, 8:24 am
Similar to the SEC, the Financial Industry Regulatory Authority, Inc. [read post]
28 Feb 2018, 10:00 am
The Chief of the SEC’s Broker-Dealer Task Force shared that AML programs and SAR-filing obligations are also a priority for the Enforcement division and OCIE exams. [read post]
26 Dec 2017, 5:00 am
” Citigroup, Inc. shareholders had alleged that the bank’s officers and its board failed to conduct oversight with respect to anti-money laundering violations, fraud at a subsidiary bank, foreign exchange (FX) benchmark manipulation, and unlawful credit card practices. [read post]
15 Dec 2017, 9:01 am
Below is our quarterly newsletter. [read post]
15 Dec 2017, 9:01 am
Below is our quarterly newsletter. [read post]
14 Nov 2017, 3:27 am
John Reed Stark As I noted in a recent post (here), the business pages these days are full of headlines about Initial Coin Offerings (ICOs). [read post]
5 Jun 2017, 1:29 pm
The defendant who is an AML consultant is alleged to have boasted of his AML abilities during conversations with an individual posing as a co-conspirator in the money laundering scheme who in fact was working with the FBI. [read post]
19 May 2017, 6:00 am
Attorney’s Office for the Southern District of New York (“SDNY”) and the Financial Crimes Enforcement Network (“FinCEN”) announced the settlement of civil claims brought under the Bank Secrecy Act (“BSA”) against the former Chief Compliance Officer of MoneyGram International, Inc. [read post]
27 Apr 2017, 10:13 am
In an Order issued against the Coinflip, Inc. platform (“Coinflip”), the CFTC imposed sanctions against Coinflip for operating a facility for trading Bitcoin derivatives without being registered as a futures exchange or swap execution facility. [read post]
10 Mar 2017, 6:09 am
Hill, University of Sydney, on Monday, March 6, 2017 Tags: Australia, Boards of Directors, Institutional Investors, International governance, Japan, Long-Term value, Private ordering, Proxy access, Shareholder activism, Shareholder rights, Shareholder voting, UK Focus on Annual Incentives: Metrics, Goals, and More Posted by Roy Saliba, Institutional Shareholder Services, Inc., on Monday, March 6, 2017 Tags: Accounting, Boards of Directors, Compensation committees, Executive… [read post]
17 Feb 2017, 8:39 am
Issues surrounding sovereignty have received increasing attention over the last few years, most recently in Congress’s decision regarding Saudi Arabian immunity. [read post]
30 Jan 2017, 6:32 pm
Eric Blinderman, Chief Executive Officer at Therium, Inc. and a seasoned international and commercial litigator during his tenure at Prosauer Rose LLP.Ms. [read post]
7 Oct 2016, 6:01 am
Gubler, Arizona State University, on Friday, September 30, 2016 Tags: Debt securities, Disclosure, Exchange Act, Fiduciary duties, Information environment, Inside information, Insider trading, Liability standards, Repurchases, Rule 10b-5, Securities fraud, Securities regulation AML Obligations of Broker-Dealers Posted by Jonathan N. [read post]
15 Jul 2016, 6:22 am
Gregory, Sidley Austin LLP, on Wednesday, July 13, 2016 Tags: Boards of Directors, Charter & bylaws, Institutional Investors, Ownership, Proxy access, Proxy voting, Shareholder proposals, Shareholder voting Taking the Ax to Corporate Accountability Posted by Gary Retelny, Institutional Shareholder Services, Inc., on Wednesday, July 13, 2016 Tags: Accountability, Fiduciary duties, Financial Services Committee, Institutional Investors, Institutional monitoring,Investment advisers,… [read post]
7 Apr 2016, 1:44 pm
This time the casino in FinCEN’s sights is the Sparks Nugget, Inc. d/b/a John Ascuaga’s Nugget (“Sparks Nugget”), located in Sparks, Nevada. [read post]
31 Mar 2016, 9:51 am
Next Financial Group, Inc. [read post]
