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Results:1-10 of 31

Whistleblower Policies
  • Sullivan & Worcester LLP
  • USA
  • January 25 2019

On January 7, 2019, the New York State Department of Financial Services (the "DFS") issued new guidance on whistleblowing programs ("WP") to all


Bill Introduced in U.S. House of Representatives Would Impose Money Laundering Reporting Requirements on Art Dealers
  • Sullivan & Worcester LLP
  • USA
  • May 24 2018

Casting aspersions about the art market is a popular pastime. And no doubt there is much about the commercial art world that invites this criticism


FFIEC Examination Procedures for the Beneficial Ownership Rule
  • Sullivan & Worcester LLP
  • USA
  • May 16 2018

The FFIEC has updated its BSAAML manual effective May 5, 2018, to add a section on the new legal entity due diligence requirements and to update the


Customer Due Diligence and FinCEN’s Frequently Asked Questions
  • Sullivan & Worcester LLP
  • USA
  • May 9 2018

As you are aware, FinCEN’s Customer Due Diligence rules are effective in two days. In a nutshell, these rules require banks to obtain and verify the


Object Lesson on How Not to Respond to Consent and Enforcement Actions
  • Sullivan & Worcester LLP
  • USA
  • August 31 2017

Last week, the DFS announced an enforcement action and charges against the NY Branch of Habib Bank, a Pakistani bank that had been doing business in


Be Careful What You Say - Or Rather What You Don’t Say - AVEO Pays $4 Million to SEC to Settle Fraud Charges
  • Sullivan & Worcester LLP
  • USA
  • April 21 2016

In March 2016, the Securities and Exchange Commission announced that AVEO Pharmaceuticals, Inc., a Massachusetts-based biopharmaceutical company


Keeping your Tax Forms out of the Phishing Net
  • Sullivan & Worcester LLP
  • USA
  • March 31 2016

It's tax filing season, but did you know that it is also phishing season? Tax phishing scams abound at this time of year, and each year they grow


Six Guidelines for Understanding the Yates Memo
  • Sullivan & Worcester LLP
  • USA
  • December 14 2015

Much ink already has been spilt on the September 9, 2015 Department of Justice policy memorandum signed by Deputy Attorney General Sally Yates. The


New SEC crackdown on late filings by insiders and major shareholders
  • Sullivan & Worcester LLP
  • USA
  • September 17 2014

The Securities and Exchange Commission recently announced that it had reached dozens of settlements in a crackdown on repeated delinquencies in the


But only from sea to shining sea: U.S. court limits the reach of U.S. Bankruptcy Code
  • Sullivan & Worcester LLP
  • USA
  • July 17 2014

International businesses involved in transactions associated in some way with U.S. citizens received a measure of relief over the 4th of July holiday