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Twisting in the Wind— California Attorney General issues revised CCPA regulations

USA - February 14 2020 On February 10, 2020, the California Attorney General published revisions to the proposed regulations (Revised Regulations) to implement the…

Alexander F. L. Sand, Mary Jane Wilson-Bilik, Michael Bahar.

The OCC’s 2019 annual report addresses anti-money laundering risks for financial institutions

USA - January 17 2020 The Office of Comptroller of the Currency (the OCC) has published its 2019 annual report (the Annual Report), which summarized the OCC’s strategic…

Ben Marzouk, Clifford E. Kirsch, Sarah E. Paul.

Recent regulatory developments regarding AML requirements for broker-dealers

USA - November 12 2019 On October 11, 2019, the leaders of the US Securities and Exchange Commission (SEC), the US Commodity Futures Trading Commission (CFTC), and the US…

Ben Marzouk, Clifford E. Kirsch.

Regulation Best Interest videocast series - Special challenges for dual registrants

USA - November 7 2019 Firms that are dually-registered are subject to special considerations under the SEC’s new Regulation Best Interest when offering both advisory and…

Clifford E. Kirsch.

The California Attorney General’s proposed regulations on the California Consumer Privacy Act - a helpful roadmap on how to comply?

USA - October 17 2019 On October 11, 2019, the California Attorney General issued long-awaited draft Regulations to the California Consumer Privacy Act (CCPA). The draft…

Alexander F. L. Sand, John Allen Zumpetta, Mary Jane Wilson-Bilik, Michael Bahar, Paula Barrett, Sarah E. Paul.