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Financial Institutions › Broker-Dealer › Investment Funds

Gordon Rees Scully Mansukhani

Recent SEC AML Enforcement Against Securities Firms Engaged in Cannabis Sector

Gordon Rees Scully Mansukhani on

The evolving regulatory landscape for marijuana-related businesses poses unique compliance challenges for firms in the securities industry. The Financial Crimes Enforcement Network (“FinCEN”) continues to enforce its 2014...more

K&L Gates LLP

SEC Finalizes Amendments to Regulation S-P

K&L Gates LLP on

On 16 May 2024, the Securities and Exchange Commission (SEC) adopted amendments (amendments) to Regulation S-P representing the first major changes to Regulation S-P since its initial adoption in 2000....more

Bressler, Amery & Ross, P.C.

Private Placements Coming Under Increased Scrutiny

Bressler, Amery & Ross, P.C. on

On February 4, 2021, New Jersey Attorney General Grewal announced a New Jersey Bureau of Securities action against GPB Capital Holdings, LLC (“GPB”) its owners, and affiliated companies for an alleged $1.8 billion...more

Eversheds Sutherland (US) LLP

The heat is on - Regulators step up pressure to implement LIBOR transition plans

Eversheds Sutherland (US) LLP on

Regulators are increasing pressure on financial institutions to demonstrate that they are proactively addressing the transition away from LIBOR.  On December 23, 2019, the New York State Department of Financial Services...more

Morgan Lewis

FinCEN Requires Financial Institutions to Obtain Beneficial Ownership

Morgan Lewis on

FinCEN’s new CIP beneficial owner rules may hinder the ability of shell and nominee companies to directly access the US financial system without disclosing the natural persons who own 25% or more of the company. Pooled...more

Katten Muchin Rosenman LLP

FINRA Provides Guidance on Liquidity Risk Management Practices

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority has issued Regulatory Notice 15-33 to provide guidance on liquidity risk management practices for senior management and risk managers to consider and implement....more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume X, Issue 35

Katten Muchin Rosenman LLP on

SEC/CORPORATE - US District Court Orders SEC To Revise Resource Extraction Issuer Rule - On September 2, the US District Court for the District of Massachusetts ordered the SEC to file with the District Court in 30...more

WilmerHale

FinCEN Proposes AML Requirements for Registered Investment Advisers

WilmerHale on

The Financial Crimes Enforcement Network (FinCEN) has proposed long-expected regulations that would extend anti-money laundering (AML) requirements to federally registered investment advisers (RIA). The August 25, 2015...more

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