Articles

Results 1 to 5 of 17
Most popular |Most recent


Continuing AML regulatory issue focus

USA - October 20 2021 Recent SEC Enforcement case, SEC's response to petition for Certiorari, and a FINRA Regulatory Notice regarding FinCEN's initiatives. Garcia Case…

Shannon M. Wheaton.

Heads Up! Your Form CRS Grace Period Has Ended: The SEC Drops the Hammer on 27 Firms for Compliance Failures with Form CRS Filing and Delivery Requirements

USA - July 28 2021 In case you were wondering if you can still push off finalizing your Form CRS filing, posting it on your website and delivering it to clients, the…

Eric Chartan, Jeffrey J. Kalinowski, Ava L. Pfeiffer.

The SEC’s Division of Examinations Highlights Increased Concerns with Wrap Fee Programs

USA - July 23 2021 Given the continued popularity of recommending wrap fee programs to clients, the Securities and Exchange Commission’s (“SEC”) Division of…

Eric Chartan, Shea O. Hicks, Jeffrey J. Kalinowski.

Beware of Insider Trading Whistleblower Scams

USA - June 24 2021 There has recently been a rash of similar anonymous whistleblower tips to public companies, each claiming that an unnamed company supervisor boasted…

J. Ashley Ebersole, Eliot W. Robinson.

Anti-Money Laundering Continues to be Among the Highest Regulatory Priorities, As Evidenced by Recent Enforcement Cases and Releases

USA - June 4 2021 For the past decade, anti-money laundering (“AML”) has been at the forefront of securities regulators’ priorities. Indeed, AML enforcement cases have…

Eric Chartan, Shea O. Hicks, Shannon M. Wheaton.