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Results: 1-10 of 5,084

Former export-import bank loan officer pleads guilty to DOJ charges of accepting bribes
  • BuckleySandler LLP
  • USA
  • April 25 2015

The DOJ released a statement regarding a plea agreement made with a former loan officer of the Export-Import Bank. According to the DOJ, the former


CFPB and FTC announce settlement with national mortgage servicing company
  • BuckleySandler LLP
  • USA
  • April 25 2015

On April 21, the CFPB and the FTC announced a joint enforcement action against a national mortgage servicing company, ordering the company to pay


New York DFS takes action against bank for BSAAML compliance deficiencies
  • BuckleySandler LLP
  • USA
  • March 13 2015

On March 12, the New York DFS issued a consent order against a Germany-based global bank for alleged Bank Secrecy Act and other anti-money laundering


How many SARs does it take to find yourself in regulators' crosshairs? Answer: none
  • Reed Smith LLP
  • USA
  • March 4 2015

Securities and Exchange Commission ("SEC") Enforcement Division Director Andrew Ceresney, recently drew attention when he announced that the SEC


FinCEN fines community bank over BSA violations
  • BuckleySandler LLP
  • USA
  • March 6 2015

On February 27, FinCEN announced a $1.5 million civil money penalty against a Pennsylvania-based community bank for violating the BSA. Of that amount


FCA sanctions Bank of Beirut, former compliance officer and former internal auditor for providing misleading information regarding AML systems and controls remediation
  • Katten Muchin Rosenman LLP
  • USA
  • March 8 2015

The Bank of Beirut was fined GBP 2.1 million (approximately US $3.16 million) by the Financial Conduct Authority for not fixing issues related to its


District court dismisses class action against payday lender
  • BuckleySandler LLP
  • USA
  • January 2 2015

On December 29, the U.S. District Court for the District of Delaware dismissed a class action accusing a payday lender of consumer fraud. Zieger v


FFIEC releases revised BSAAML Examination Manual
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

On November 26, the Federal Financial Institutions Examination Council (FFIEC) released the revised Bank Secrecy ActAnti-Money Laundering (BSAAML


Internal investigations a stark reminder of the dangers of failing to implement strict protocols from the outset
  • DLA Piper LLP
  • USA
  • March 12 2015

A recent ruling in long-running civil litigation against the Bank of China (“BOC”) in the United States District Court for the Southern District of


Corporate governance update June 2014
  • Kelley Drye & Warren LLP
  • USA
  • July 3 2014

Last week, the Securities Industry and Financial Markets Association (SIFMA) issued guidance to registered broker-dealers and investment advisers on