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FinCEN Provides Clarity for Section 314(b) Information Sharing

USA - December 22 2020 On December 10, 2020, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a Fact Sheet clarifying the…

Bochan Kim.

CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021

USA - December 3 2020 On December 1, 2020, the Commodities Futures Trading Commission (CFTC) Division of Enforcement published its annual report for Fiscal Year 2020…

OCIE Director Instructs Advisers to Empower Chief Compliance Officers

USA - November 30 2020 On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination (“OCIE”) of the Securities and Exchange…

Bochan Kim.

OCIE Director Instructs Advisers to Empower Chief Compliance Officers

USA - November 24 2020 On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination (“OCIE”) of the Securities and Exchange…

Bochan Kim.

Despite Challenges, It’s Full Steam Ahead For SEC’s Enforcement Division

USA - September 29 2020 On September 17, 2020, Stephanie Avakian, Director of the SEC’s Division of Enforcement, spoke at the Institute for Law and Economics, University of…

Ariela R. Pier.