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First Criminal Charge of U.S. Broker-Dealer for Bank Secrecy Act Violation Highlights Importance of Anti-Money-Laundering Controls

USA - January 3 2019 On December 19, 2018, federal prosecutors in the Southern District of New York announced the first-ever criminal charge against a U.S. broker-dealer...

Paul M. Tyrrell, Timothy J. Treanor, Joan M. Loughnane, Doreen M. Rachal, Alexa Poletto, Michael D. Mann.

U.S. SEC and CFTC Fiscal Year 2018 Whistleblower Reports Chart Dramatic Escalation of Whistleblower Programs

USA - December 3 2018 The U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission(CFTC) Offices of the Whistleblower have issued their...

Geoffrey F. Aronow, Stephen L. Cohen, Michael S. Sackheim, Nathan A. Howell, W. Hardy Callcott.

For Whom the SEC Tolls: A Recent Foreign Corrupt Practices Act Case Highlights the Importance of Language in Tolling Agreements

USA - July 20 2018 On July 13, a federal judge dismissed a U.S. Securities and Exchange Commission (SEC) lawsuit accusing two former executives of Och-Ziff Capital...

Jose F. Sanchez, Stephen L. Cohen, Angela M. Xenakis, Julia G. Mirabella, Milton P. Wilkins.

U.S. Financial Industry Regulatory Authority Proposes New Rule to Address Outside Business Activities of Registered Persons

USA - March 12 2018 On February 26, 2018, the U.S. Financial Industry Regulatory Authority (FINRA) proposed new FINRA Rule 3290 (the Proposed Rule) that will greatly...

Gerald J. Russello, Robert A. Buhlman, James Brigagliano, W. Hardy Callcott.

Office of Compliance Inspections and Examinations Publishes 2018 Exam Priorities

USA - February 12 2018 On February 7, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (the Commission)...

Laurin Blumenthal Kleiman, Barry W. Rashkover, Stephen L. Cohen, Elizabeth Shea Fries, Luke O.I. Frankson.