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Filing Requirements Compliance Financial Institutions

Seward & Kissel LLP

2025 SEC Filing Deadlines and Financial Statement Staleness Dates

Seward & Kissel LLP on

2025 desk top reference for public companies: the attached document includes a 2025 calendar and other resources to help alert public companies to key SEC filing dates and financial statement staleness deadlines....more

Moore & Van Allen PLLC

SEC Announces Proposed Rule for Climate Risk and Greenhouse Gas Disclosures

Moore & Van Allen PLLC on

On March 21, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced a proposed rule (the “Proposed Rule”) that will require registrants to make certain climate disclosures in their registration statements and...more

Akin Gump Strauss Hauer & Feld LLP

New York State Department of Financial Services Extends Deadline for Certification of Compliance Filings

NYDFS Extends Deadline to File Certificate of Compliance Under Cybersecurity Regulation in Light of COVID-19 Crisis Given the ongoing COVID-19 pandemic, the New York State Department of Financial Services (NYDFS) extended...more

Orrick - Finance 20/20

SEC Seeks Public Comment on Regulation S-X

Orrick - Finance 20/20 on

On September 25, the U.S. Securities and Exchange Commission (the “SEC”) announced that it is seeking public comment on the effectiveness of financial disclosure requirements in Regulation S-X. The request for comments...more

Baker Donelson

Advisers Charged with Cleansing Dirty Money from Industry

Baker Donelson on

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN) proposed an anti-money laundering rule applicable to SEC-registered investment advisers (RIAs). The proposed rule would require RIAs to establish...more

K&L Gates LLP

AML Update: The Rumors Are True – FinCEN Proposes Regulations That Will Require SEC Registered Investment Advisers to Adopt an AML...

K&L Gates LLP on

On September 1, 2015, the Financial Crimes Enforcement Network (“FinCEN”) published in the Federal Register long-rumored proposed regulations that will require Securities and Exchange Commission (“SEC”)-registered investment...more

The Volkov Law Group

The 5 Most Common AML Compliance Program Deficiencies

The Volkov Law Group on

Anti-money laundering compliance is a very difficult task. The number of risks is exponential. AML compliance officers have an innovative and rich history of compliance techniques and strategies. In the end, AML compliance...more

Ballard Spahr LLP

CFPB eClosing Project Update

Ballard Spahr LLP on

The CFPB issued a report on its study of the CFPB’s mortgage loan eClosing project on August 5, 2015, and held a public forum addressing the study results. As we reported, the CFPB launched the eClosing project to determine...more

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