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FinCEN Issues FAQs Regarding Customer Due Diligence Requirements
  • BuckleySandler LLP
  • USA
  • July 22 2016

On July 19, FinCEN issued FAQs to clarify the scope of the May 2016 Customer Due Diligence (CDD) final rule. As previously covered in InfoBytes, and


White Collar Enforcement RoundupFinancial Crimes Edition
  • Manatt Phelps & Phillips LLP
  • USA
  • July 21 2016

This month, we look at a sampling of enforcement actions announced in recent weeks by agencies ranging from the DOJ and the SEC on the one hand to


Private Fund ReportSummary of Key DevelopmentsSpring 2016
  • Paul Hastings LLP
  • European Union, United Kingdom, USA
  • July 14 2016

This continues to be a time of rapid change for the private fund industry, as the Securities and Exchange Commission (the "SEC"), the Commodity


Financial Services Update, vol. 11, no. 25
  • Winston & Strawn LLP
  • USA
  • July 11 2016

The Securities and Exchange Commission (“SEC”) was busy on June 28, 2016, proposing rules and making announcements that, if ratified, will


CFTC Staff Reminds FCMs and IBs to Report Suspicious Activities Timely and All Registrants to Comply With OFAC Sanctions Programs
  • Katten Muchin Rosenman LLP
  • USA
  • July 10 2016

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight issued an advisory to remind futures commission


Developments in Bank Secrecy Act and Anti-Money Laundering Enforcement and Litigation
  • NERA Economic Consulting
  • USA
  • July 7 2016

Money laundering is a term that is used to refer to financial transactions in which individuals and criminal enterprises attempt to disguise the


Regulatory Violations May Now Come with Significantly Higher Penalties
  • Morgan Lewis & Bockius LLP
  • USA
  • July 6 2016

Starting August 1, violations of financial regulations will come with higher civil money penalties (CMPs). The CMP increases are in response to the


Final rule on customer due diligence requirements issued
  • Sidley Austin LLP
  • USA
  • June 17 2016

On May 11 2016 the Financial Crimes Enforcement Network (FinCEN) published a final rule that formalises new and existing customer due diligence (CDD


New FinCEN Due Diligence Requirements for Legal Entity Customers
  • Drinker Biddle & Reath LLP
  • USA
  • June 15 2016

On May 11, 2016, the Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) released new anti-money Laundering (AML) rules and


Financial Services Update, vol. 11, no. 22
  • Winston & Strawn LLP
  • Global, USA
  • June 13 2016

A recent SEC Enforcement action, which imposed a $1 million penalty upon the Respondent, a registered broker-dealer and investment adviser, provides