Pete S. Michaels
Mintz
Articles
FINCEN Seeks the Assistance of Financial Institutions in the Fight Against Environmental Crimes
USA - November 24 2021 On November 18, 2021, the Financial Crimes Enforcement Network (FinCEN) issued a Notice “to call attention to an upward trend in environmental crimes…
SPACS and Scams: FINRA Announces New Sweep Exams
USA - July 26 2021 FINRA President Robert Cook has announced that FINRA will conduct new regulatory sweeps focusing on three areas: 1) the use of Special Purpose…
Call it a Comeback: The Likely Return of ESG Investing in ERISA Accounts
USA - June 4 2021 Environmental, social, and governance (“ESG”) investing has experienced quite the regulatory roller coaster in recent years. In the most recent turn…
Substantial AML Reforms Enable Regulators to “Follow the Money”
USA - January 21 2021 On January 1, 2021, Congress enacted the National Defense Authorization Act for Fiscal Year 2021 (the “NDAA”), after overriding a presidential veto…
ESG Investing in Retirement Accounts: Down But Not Out
USA - November 30 2020 Proponents of environmental, social, and governance (“ESG”) investing may have good news on the horizon—in particular, good news that could…
