AGENDA -
- SEC Enforcement and Exams in 2019
- Risk Alerts and Other Hot Button Issues
- Enforcement Priorities and Selected Actions Pertaining to Investment Management
- A Review of Recent SEC Statements and...more
Since 2002, as part of their anti-money laundering (“AML”) responsibilities, broker/dealers have had a gatekeeper-like obligation to monitor customers for “suspicious” activities and to report those activities to the Treasury...more
Under Securities and Exchange Commission (“SEC”) authorization, the Financial Industry Regulatory Authority (“FINRA”) is “responsible for regulating (1) all securities firms that do business with the public[,]” (2) key stock...more
4/25/2016
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Broker-Dealer ,
Compliance ,
Corporate Culture ,
Enforcement Actions ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Risk Management ,
Securities and Exchange Commission (SEC)
Recently, attorneys from K&L Gates’ Government Enforcement practice group attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society Annual Seminar. We wanted to share with you...more
3/31/2016
/ Best Interest Contract Exemptions ,
BSA/AML ,
CFTC ,
CMBS ,
Corporate Crimes ,
Cybersecurity ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Halliburton v Erica P. John Fund ,
Individual Accountability ,
Public Offerings ,
Retirement ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
Self-Reporting ,
SIFMA ,
Toys R Us
Recently, partners from K&L Gates’ Government Enforcement, Broker-Dealer and Investment Management practice groups attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society...more