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Financial Services Update, Vol. 12, Issue 23
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 12 2017

On June 5th, the SEC charged a Utah-based brokerage firm with thousands of violations of Section 17(a) of the Securities Exchange Act of 1934 and


Anti-Money Laundering Scrutiny Intensifies on Both Sides of the Atlantic
  • Eversheds Sutherland (US) LLP
  • United Kingdom, USA
  • June 5 2017

US and UK regulators continue to focus on enforcement actions against institutions and individuals for violations of anti-money laundering (AML) laws


Key Regulatory Topics: Weekly Update - 26 May 2017 - 1 June 2017
  • Allen & Overy LLP
  • European Union, United Kingdom, USA
  • June 2 2017

On 31 May, ESMA published an opinion (ESMA42-110-433) on general principles to support supervisory convergence in the context of the UK withdrawing


Anti-Bribery and Corruption Review - June 2017
  • Clifford Chance LLP
  • Australia, OECD, United Kingdom, USA
  • May 31 2017

The spotlight on anti-bribery and corruption compliance programmes continues to intensify as a number of countries adopt measures designed to make it


Top Ten International Anti-Corruption Developments for April 2017
  • Morrison & Foerster LLP
  • United Kingdom, USA, Australia
  • May 30 2017

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international


Financial Services Update, Vol. 12, Issue 22
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • June 5 2017

On June 1, in the wake of the Department of Labor’s (“DOL”) announcement that it would not seek to delay further the June 9 effective date of the


Do you know the way to (the) San Jose (Principles)?
  • Freshfields Bruckhaus Deringer LLP
  • United Kingdom, USA
  • May 31 2017

The Financial Action Task Force (FATF) just held a meeting at Paypal's headquarters in San Jose to discuss trends and developments in Fintech and


Compliance officer liability: between a rock and a hard place?
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • United Kingdom, USA
  • April 6 2017

In recent years, a perception has developed that compliance officers have personally become more exposed to regulatory and government enforcement


Global Anti-Corruption Insights: Summer 2016
  • Arnold & Porter Kaye Scholer LLP
  • United Kingdom, USA
  • August 9 2016

2016 is shaping up to be one of the busiest years on record for enforcement of the Foreign Corrupt Practices Act (FCPA), with dozens of new


International Trade Compliance Update - September 2016
  • Baker McKenzie
  • United Kingdom, USA, Australia, Canada, European Union
  • September 7 2016

On 19 August 2016, the Russian Federation notified the WTO that it intends to initiate negotiations pursuant to Paragraph 1143 of the Working Party