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2021 SEC Examination Priorities for Securities Industry Registrants

USA - March 26 2021 The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities…

Richard M. Cutshall, Arthur Don, Steven M. Felsenstein, Elaine C. Greenberg, Steven M. Malina.

The Anti-Money Laundering Act of 2020: Congress Enacts the Most Sweeping AML Legislation Since Passage of the USA PATRIOT Act

USA - January 19 2021 On Jan. 1, 2021, the U.S. Senate overwhelmingly voted (81-13) to override President Trump’s veto of the National Defense Authorization Act for Fiscal…

Carl A. Fornaris, Kyle R. Freeny, Marina Olman-Pal.

FinCEN Proposes to Extend Recordkeeping, Reporting, and Identity Verification Requirements to Certain Virtual Currency and Digital Asset Transactions

USA - December 29 2020 On Dec. 18, 2020, the U.S. Department of the Treasury, Financial Crimes Enforcement Network (FinCEN) published a Notice of Proposed Rulemaking (NPRM)…

Rosemarie "Rosy" Aleman, Carl A. Fornaris, Kyle R. Freeny, Marina Olman-Pal.