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23 Apr 2024, 9:24 am
” In its Notice, OFAC also promoted its relatively nascent Whistleblower Rewards Program, which provides a clear and confidential channel for whistleblowers to provide information on potential sanctions violations along with violations of the Bank Secrecy Act. [read post]
23 Apr 2024, 5:18 am
Washington is taking aim at Chinese banks aiding Russia’s war in Ukraine. [read post]
23 Apr 2024, 2:48 am
On the facts, the court held it would be unreasonable to ascribe negligence to the bank’s failure to perform a due diligence exercise to verify the trust’s capacity beyond the bank’s reliance on the documents provided by the trustees, including a trustees resolution indicating that the two trustees had been duly authorised to conclude the agreement on behalf of the trust. [read post]
23 Apr 2024, 2:48 am
On the facts, the court held it would be unreasonable to ascribe negligence to the bank’s failure to perform a due diligence exercise to verify the trust’s capacity beyond the bank’s reliance on the documents provided by the trustees, including a trustees resolution indicating that the two trustees had been duly authorised to conclude the agreement on behalf of the trust. [read post]
23 Apr 2024, 1:49 am
Mr Rathi also highlighted the FCA’s continued joint work with the Bank of England (BoE) and the Prudential Regulation Authority on the role of critical third parties and AI. [read post]
23 Apr 2024, 1:30 am
One of the tools introduced by FSMA 2023 is new section 138BA of the Financial Services and Markets Act 2000 (FSMA) which provides a power for HM Treasury to make regulations to grant the financial services regulators the ability to disapply or modify rules made by the regulators under FSMA. [read post]
23 Apr 2024, 1:24 am
The Committee had previously (in February 2024) flagged that more than 140,000 business accounts had been closed by major banks. [read post]
22 Apr 2024, 10:00 pm
Legal Developments provide the latest updates and analyses of emerging topics impacting your practice area. [read post]
22 Apr 2024, 10:00 pm
Legal Developments provide the latest updates and analyses of emerging topics impacting your practice area. [read post]
22 Apr 2024, 10:00 pm
Employers sometimes require employees to provide a specific amount of notice before resigning. [read post]
22 Apr 2024, 10:00 pm
Read this new practice note providing an overview of unrestricted subsidiary provision trends. [read post]
22 Apr 2024, 10:00 pm
The tool covers licensing and capital requirements, conditions to doing business in the state, AML/CFT guidelines, recordkeeping, supervision, and enforcement authority, for banking and non-banking institutions. [read post]
22 Apr 2024, 12:47 pm
Elder Financial Exploitation: FinCEN Reports Over 150,000 SAR FilingsThe US Department of the Treasury Financial Crimes Enforcement Network (FinCEN) announced the issuance of a Financial Trend Analysis on April 18, 2024, looking at patterns and trends identified in Bank Secrecy Act (BSA) data linked to elder financial exploitation (EFE)…↓ READ MORE ↓ ICI Member LOG IN or SUBSCRIBE today! [read post]
22 Apr 2024, 11:39 am
FINRA BrokerCheck provides investors with detailed information about the professional history, qualifications, and regulatory actions of brokers and brokerage firms. [read post]
22 Apr 2024, 11:15 am
Banks, which provide and facilitate ‘downstream’ lending to companies owned by private equity funds and ‘midstream’ lending to the private equity funds themselves, as well as having ‘upstream’ exposures where there is recourse to the limited partners. [read post]
22 Apr 2024, 9:13 am
Mr Rathi also highlighted the FCA’s continued joint work with the Bank of England (BoE) and the Prudential Regulation Authority on the role of critical third parties and AI. [read post]
22 Apr 2024, 8:01 am
The bill also requires rulemaking to implement key provisions and provides for lengthy transition periods upon enactment. [read post]
22 Apr 2024, 5:29 am
” “However, Israel has yet to provide supporting evidence of this,” the report says. [read post]
22 Apr 2024, 1:35 am
Nature of business: Professional service providers (e.g. law firms, medical practices, accounting firms) often choose to form LLPs instead of LLCs, sometimes due to the appeal of shielding themselves from the liability of their other partners’ actions or because a state requires these professions to form an LLP rather than an LLC. [read post]
22 Apr 2024, 1:06 am
The United States has provided assurances that Julian Assange would not receive the death penalty in the event that he is extradited. [read post]
