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SEC issues risk alert on suspicious activity monitoring and reporting at broker-dealers

USA - March 31 2021 On March 29, 2021, the SEC’s Division of Examinations issued a Risk Alert emphasizing broker-dealers’ obligations to monitor and report suspicious…

Mark Chorazak, Sara N. Raisner.

Getting smart: U.S. financial regulators seek input on artificial intelligence

USA - March 30 2021 On March 29, the Federal Reserve Board, the Consumer Financial Protection Bureau, the Federal Deposit Insurance Corporation, the Office of the…

Caitlin Hutchinson Maddox, Le-el Sinai, Mark Chorazak, Timothy J. Byrne.

LIBOR transition update: financial institutions brace for exam scrutiny

United Kingdom - March 12 2021 On March 9, 2021, the Federal Reserve Board published a Supervision and Regulation Letter (SR 21-7) (the “SR Letter”) containing guidance for…

Caitlin Hutchinson Maddox, Le-el Sinai, Mark Chorazak, Timothy J. Byrne.

Entering the U.S. market: a guide for fintech firms

USA - February 22 2021 The United States is the largest financial services market in the world. For an international business, expanding operations to the U.S. can…

Alan Bickerstaff, Brian Dillavou, Carmelo Gordian, Christopher Forrester, Donna Parisi, Emma Maconick, Gillian Emmett Moldowan, J. Matthew Lyons, J. Russel Denton, Jennifer D. Morton, Jordan J. Altman, Justin Reda, Kris Ferranti, Lona Nallengara, Michael B. Shulman, Michael S. Dorf, Russell D. Sacks, Ryan Au, Sean W. Anderson.

A look at the biggest overhaul of U.S. anti-money laundering laws in decades

USA - December 23 2020 The National Defense Authorization Act, a 4,517-page bill that contains a sweeping overhaul of the Bank Secrecy Act (BSA) and other requirements…

Danforth Newcomb, Jennifer D. Morton, Katherine J. Stoller, Le-el Sinai, Mark Chorazak, Philip Urofsky, Timothy J. Byrne.