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Financial Institutions › Proposed Regulation › Compliance

Mayer Brown

Federal Reserve Proposes Changes to Rating System for Large Financial Institutions

Mayer Brown on

On July 10, 2025, the Board of Governors of the Federal Reserve System (“Board”) proposed changes to its supervisory rating systems for large financial institutions (“LFIs”) and supervised insurance organizations (the...more

Proskauer Rose LLP

FCA Confirms New Rules to Improve Oversight of Appointed Representatives - Insights

Proskauer Rose LLP on

On 3 August 2022, the UK’s Financial Conduct Authority (“FCA”) published a policy statement (PS22/11) on improvements to the appointed representatives (“ARs”) regime. The FCA  consulted on amendments to the AR framework in...more

Morrison & Foerster LLP

FinCEN Proposes Anti-Money Laundering and Suspicious Reporting Rules for Registered Investment Advisers

Morrison & Foerster LLP on

On August 25, 2015, the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN) proposed rules that would require registered investment advisers to adopt anti-money laundering (AML) programs and report...more

Proskauer - Corporate Defense and Disputes

Proposed AML Regulations for Registered Investment Advisers Released by FinCEN

Proskauer - Corporate Defense and Disputes on

On August 25, 2015, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) released proposed rules that would require investment advisers that are registered or required to be registered (RIAs)...more

King & Spalding

FinCEN Proposes New Anti-Money Laundering Rule For Investment Advisers

King & Spalding on

On August 25, the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) released a Notice of Proposed Rulemaking (NPRM), which would impose anti-money laundering (AML), suspicious activity reporting,...more

Holland & Knight LLP

FinCEN's Busy August Yields Noteworthy Anti-Money Laundering Developments

Holland & Knight LLP on

August was a busy month for the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN). Among other initiatives, FinCEN issued its long-awaited proposed regulations on customer due diligence (CDD)...more

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