On May 2, 2019, the US Department of the Treasury’s Office of Foreign Assets Control (OFAC) issued guidance titled “A Framework for OFAC Compliance Commitments” (Guidance), providing direction regarding what OFAC considers to...more
5/15/2019
/ Anti-Money Laundering ,
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Financial Industry Regulatory Authority (FINRA) ,
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Monetary Authority of Singapore ,
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UK
Last week, the US Department of Justice (DOJ) released its updated guidance on how prosecutors should evaluate corporate compliance programs. The revised guidance reiterates and expands on the hallmarks of successful...more
On May 9, 2018, in speech before the New York City Bar White Collar Crime Institute, Deputy Attorney General Rod Rosenstein stated the US Department of Justice (DOJ) will implement a new policy to discourage multiple...more
On February 12-13, 2018, members of the securities industry, regulators and financial crime experts met in New York City at the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering (AML) and...more
On January 28, 2014, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert entitled: Investment Adviser Due Diligence Processes for Selecting...more