Results 1 to 5 of 20

New Federal Anti-Crime Rule Requires Millions of Businesses to Report True Ownership

USA - November 14 2022 With limited amendments to its proposed rule, the Financial Crimes Enforcement Network (“FinCEN”), a division of the U.S. Department of the Treasury…

Barry Hester, Stanton R. Koppel, Shannon M. Wheaton

The SEC’s Continued Efforts to Dive Feet First into Climate Control and ESG Initiatives

USA - June 6 2022 The SEC began highlighting climate control and ESG concerns as a hot topic in February 2021. In that month, the SEC announced the appointment of…

Lindsay Wuller Aggarwal, Eric Chartan, Shea O. Hicks, Jeffrey J. Kalinowski

The Corporate Transparency Act (CTA) is Coming: Creation of a National Beneficial Ownership Database

USA - February 17 2022 Potentially as soon as late 2022 or early 2023, a new U.S. regulatory schema will come into effect which will affect over 25 million existing…

Barry Hester, Stanton R. Koppel, Shannon M. Wheaton

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