Search for: "Matter of AML"
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18 Oct 2023, 9:01 pm
The DIMA matter is particularly instructive on the resourcing of compliance departments. [read post]
10 Dec 2018, 3:16 pm
John Reed Stark Lost amidst all of the turmoil surrounding the dramatic swings in the value of digital currencies is that the original idea for these digital assets is that they might actually be used as exchange media, in place of traditional currencies. [read post]
16 Nov 2018, 12:00 am
This deadline was missed due to divergent opinions and the overall complexity of the matter. [read post]
28 Aug 2014, 7:46 am
The attorneys at Gana LLP are experienced in representing investors in securities litigation matters. [read post]
28 May 2009, 3:14 am
Early in December 2008, A Kings (Brooklyn) County Criminal Court judge addressed AML 353 in the context of a failure to act. [read post]
25 Jun 2021, 5:03 pm
Our firm has worked on Blockchain and ICO matters for clients in the US and Asia, and will continue to provide further information on any new regulations that continue to emerge. [read post]
6 Dec 2013, 6:21 am
Let’s turn to the second matter brought by the SEC on October 28th: Further Lane Asset Management. [read post]
13 Apr 2023, 10:51 pm
Lastly, AUSTRAC provided reporting entities with updates from the Financial Action Task Force (FATF), the global group that sets international anti-money-laundering and counter terrorism financing (AML/CTF) standards, relating to foreign jurisdictions that present high money laundering and terrorism financing risk and have strategic deficiencies in their AML/CTF regimes. [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]
14 Feb 2022, 9:53 am
Money laundering We saw significant anti-money laundering (AML) fines in 2021 and UK authorities will continue to focus on this area, including: AML systems and controls: We expect to see an increased focus on firms’ AML systems and controls following the Dear CEO summarising systems and controls weaknesses identified by the FCA. [read post]
20 Feb 2012, 6:49 pm
Whether an entity is a threat to the security of Canada is a matter for the federal government to decide. [read post]
21 Jun 2023, 9:48 pm
Other key matters in the quarterly report include ASIC’s efforts to: ensure sustainability-related claims made by financial institutions were accurate; reduce the risk of harm to consumers caused by poor design and distribution of financial products, noting stop orders on financial products with deficient or non-compliant target market determinations; promote good practices for handling whistleblower disclosures; improve insurance in superannuation; and monitor remediation over… [read post]
8 Jan 2020, 8:06 am
AML programs typically include a system of int [read post]
8 Jan 2020, 8:06 am
AML programs typically include a system of int [read post]
17 Jan 2024, 7:37 am
” Justin Smigelsky has a broad legal portfolio at Seeger Weiss, which includes handling qui tam matters filed under the federal False Claims Act and state law equivalents, as well as managing cases involving the IRS, AML, and SEC Whistleblower Programs. [read post]
9 Jun 2022, 6:30 am
Undertake due diligence and reputational risk assessment of new clients and matters. [read post]
6 May 2010, 5:32 am
As a matter of fact, most of these are easy! [read post]
29 Jul 2022, 6:08 am
We will handle the challenging legal aspects on your behalf, allowing you to focus on matters of more immediate importance. [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]
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]
