Brian Rabbitt

Jones Day

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Latest Posts › Securities and Exchange Commission (SEC)

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The DOJ and the CFTC Are Focused on Commodities Fraud Enforcement—Are You? Suggestions for Preparing Your Organization

The Department of Justice ("DOJ") and the Commodity Futures Trading Commission ("CFTC") in recent years have worked closely together to target companies and individuals for violations of the Commodity Exchange Act and other...more

5/28/2021 / CFTC , Commodities , Commodity Exchange Act (CEA) , Department of Justice (DOJ) , Enforcement Guidance , Foreign Corrupt Practices Act (FCPA) , Securities and Exchange Commission (SEC) , White Collar Crimes

SEC’s Division of Examinations Signals Continuing Focus on Broker-Dealer AML Compliance Obligations

The Situation: The Securities and Exchange Commission’s Division of Examinations ("EXAMS") released a Risk Alert on March 29, 2021, reminding broker-dealers of their obligation to comply with anti-money laundering ("AML")...more

4/12/2021 / Anti-Money Laundering , Bank Secrecy Act , Broker-Dealer , BSA/AML , Compliance , Enforcement Actions , FinCEN , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Suspicious Activity Reports (SARs)

New Unit Signals CFTC Targeting ESG Issues and Financial System's Climate Risks

The Situation: The Commodity Futures Trading Commission ("CFTC") has established a new unit dedicated to addressing climate risk in the financial system, providing yet another example of financial services regulators...more

3/22/2021 / Biden Administration , CFTC , Climate Change , Corporate Governance , Environmental Social & Governance (ESG) , Market Participants , Securities and Exchange Commission (SEC)

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