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Financial Services Update, vol. 11, no. 31
  • Winston & Strawn LLP
  • USA
  • August 22 2016

While political gridlock in Washington has caused the well-known stalemate over filling the presently vacant U.S. Supreme Court seat, it has also

Investment Management Legal Regulatory Update - August 2016
  • Morrison & Foerster LLP
  • USA
  • August 16 2016

First, the SEC required funds to designate a Chief Compliance Officer. Then, the SEC proposed that funds designate a liquidity risk manager and

Financial Services Update, vol. 11, no. 30
  • Winston & Strawn LLP
  • USA
  • August 15 2016

Wall Street banks have asked the Federal Reserve Board (“Fed”) to grant them an additional five-year grace period to comply with section 619 of the

NFA to Amend Rules to Encompass New FinCEN Beneficial Owner Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

The National Futures Association reminded members that the Financial Crimes Enforcement Network has adopted final rules requiring future commission

Retroactive Civil Penalty Increases?
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • August 10 2016

Over the past several months, many federal agencies have adopted rules significantly increasing the maximum civil monetary penalties (CMPs) they can

New FinCEN Rules: Customer Due Diligence to Prevent "Criminals, Kleptocrats, and Others" from Hiding Ill-gotten Proceeds
  • Haynes and Boone LLP
  • USA
  • August 3 2016

As part of the Obama Administration’s continuing efforts to curb money laundering and other international corruption, on July 11, 2016 the final

Financial Services Update, vol. 11, no. 27
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • July 25 2016

The most dramatic bank regulatory news last week was that the Republican National Committee 2016 platform was amended to include a plank calling for

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