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Anti-Money Laundering › Investment Management › Financial Services Industry

K&L Gates LLP

Investment Management Client Alert June 2025

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ESMA Publishes Final Report on the Preparation of Securities Prospectuses -On 12 June 2025, the European Securities and Markets Authority (ESMA) published its final report with regulatory technical standards (RTS) for the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Stablecoins: Regulatory Issues for UK and EU Banks To Consider

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As the market for stablecoins continues to evolve in sophistication and scale, financial institutions in the UK and EU are increasingly exploring whether and how to engage with them, whether for treasury, payments, settlement...more

Goodwin

AML/CTF Asset Due Diligence Obligations: CSSF Provides Clarifications in an initial Q&A

Goodwin on

On 13 December 2024, the Commission de Surveillance du Secteur Financier (CSSF) published the first FAQ to assist professionals in the investment sector supervised, authorised, or registered by the CSSF in complying with...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - February 2024

A&O Shearman on

1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - ECB: Memorandum of Cooperation between ECB and CAs on third-country bank supervision - Status: Final - The ECB has published a Memorandum of...more

A&O Shearman

Regulatory monitoring: EU Version - August 2023

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding European regulatory law in English language. Furthermore, we produce detailed briefings to cover key developments in the field of financial...more

Mayer Brown Free Writings + Perspectives

FINRA Releases 2023 Report on Its Examination and Risk Monitoring Program

Mayer Brown Free Writings + Perspectives on

On January 10, 2023, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (the “Report), available at:  2023 Report on FINRA’s Examination and...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives

Eversheds Sutherland (US) LLP on

Asset managers will need to consider how FinTech developments impact their business model in 2020, including developments related to digital asset securities, cryptocurrency-based ETFs and blockchain. In this Bottom Line...more

Morgan Lewis

Banking Regulators Release Statement on their BSA/AML Supervision Approach

Morgan Lewis on

A working group composed of the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, the Office of the Comptroller of the Currency, and the US...more

Morgan Lewis

CFTC ‘Clarifies’ Anti-Money Laundering Rule Obligations of Certain Introducing Brokers

Morgan Lewis on

A recent interpretation by the CFTC (in consultation with FinCEN) of the customer identification program and beneficial ownership rules specifies that these rules do not apply to nontraditional introducing brokers, or...more

Cadwalader, Wickersham & Taft LLP

[Event] Finance Forum - December 1st, Charlotte, NC

Cadwalader, Wickersham & Taft LLP on

Cadwalader, Wickersham & Taft LLP is sponsoring its inaugural Finance Forum in Charlotte, North Carolina on December 1st.  Join Cadwalader, Wickersham & Taft LLP and fellow industry leaders to discuss emerging trends, market...more

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