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Asset Management › Enforcement Actions › Financial Institutions

Paul Hastings LLP

SFDR Update: A Step Up in Scrutiny

Paul Hastings LLP on

In recent weeks, EU regulators have issued several updates clearly indicating that, while the Sustainable Finance Disclosure Regulation (SFDR) remains subject to review and likely substantial revision at the end of 2025,...more

Proskauer - The Capital Commitment

FinCEN’s $390 Million case against Capital One – And What it Means for AML Enforcement

Proskauer - The Capital Commitment on

As the financial services industry prepares for expanded criminal and civil enforcement under the Bank Secrecy Act (“BSA”) with the passage of the Anti-Money Laundering Act of 2020, FinCEN’s recent case against Capital One...more

A&O Shearman

Financial Regulatory Developments Focus - November 2018 #4

A&O Shearman on

In this week’s newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Dorsey & Whitney LLP

SEC- BNY Mellon Settle FCPA Charges Tied To Hiring Relatives of Officials

Dorsey & Whitney LLP on

The SEC has been investigating sovereign wealth funds and issues relating to the hiring of friends and family of foreign officials for some time. Now it has filed a settled action centered on both of those issues which...more

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