Since December 2021, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have levied almost $3.0 billion in penalties for longstanding failures by 39 broker-dealers, swap dealers,...more
3/7/2024
/ Anti-Money Laundering ,
Banking Sector ,
Bribery ,
Broker-Dealer ,
CFTC ,
Corruption ,
Customer Due Diligence (CDD) ,
Department of Justice (DOJ) ,
Digital Assets ,
Economic Sanctions ,
Electronic Communications ,
Enforcement Actions ,
Ethics ,
Evasion ,
Fraud ,
Investment Adviser ,
National Security ,
Office of Foreign Assets Control (OFAC) ,
Penalties ,
Policies and Procedures ,
Recordkeeping Requirements ,
Regulatory Standards ,
Securities ,
Securities and Exchange Commission (SEC) ,
Swap Dealers
As the Russia – Ukraine war rages on, one outcome so far is clear: the Western nations remain aligned and united to confront Russian aggression. The West’s synchronized, roll-out of economic and trade sanctions against...more
1/10/2023
/ Bribery ,
CFIUS ,
Compliance ,
Corruption ,
Cyber Crimes ,
Department of Justice (DOJ) ,
Economic Sanctions ,
Financial Institutions ,
Foreign Banks ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Military Conflict ,
Money Laundering ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Risk Management ,
Russia ,
Securities and Exchange Commission (SEC) ,
Ukraine