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Article

K&L Gates | USA | 4 Feb 2019

In 2019, FINRA’s Evolution Includes Staying the Course and Focusing on Emerging Issues

On January 22nd, the Financial Industry Regulatory Authority (FINRA) issued its newly titled “Risk Monitoring and Examination Priorities

Article

K&L Gates | USA | 17 Apr 2018

Beneficial Owner New Account Rules: What FinTech AML Program Managers and Their Financial Institutions Need to Know

FinCEN’s new beneficial owner rules take effect May 11, impacting banks and the program managers and similar companies that help banks comply with the

Article

K&L Gates | USA | 13 Feb 2018

The SEC’s Office of Compliance Inspections and Examinations and FINRA

On January 8 and February 7, 2018, respectively, the Financial Industry Regulatory Authority (“FINRA”) and the Office of Compliance Inspections and

Article

K&L Gates | USA | 9 Nov 2017

Newly Released Virtual-Currency Businesses Act Augurs Increased State Regulation of Bitcoin, Ether, and other Digital and Crypto Currencies

On October 9, 2017, the Uniform Law Commission released the final version of its Uniform Regulation of Virtual-Currency Businesses Act (“VCBA”). The

Article

K&L Gates | USA | 7 Nov 2017

Newly Released Virtual-Currency Businesses Act Augurs Increased State Regulation of Bitcoin, Ether, and other Digital and Crypto Currencies

The Uniform Law Commission (“ULC”) is an organization focused on developing and preparing “non-partisan, well-conceived, and well-drafted” state

Article

K&L Gates | USA | 26 Oct 2017

Initial Coin Offerings: Key Considerations You Absolutely, Positively Need to Know About Before Launching an ICO

Initial Coin Offerings (ICOs) have rapidly emerged as the hottest trend in FinTech financing, albeit one that is not without controversy. Put simply

Article

K&L Gates | USA | 15 Sep 2017

Tax-Free Cryptocurrency Transactions Could Come with Reporting Obligations

As cryptocurrencies such as Bitcoin and Ethereum become more prevalent in investment circles and acceptable for commercial transactions, the Internal

Article

K&L Gates | USA | 13 Jan 2017

Paying for the Wall: Will President Trump’s Administration Scrutinize, Tax, or Seize Remittances?

One of the most significant post-election questions for the financial-services industryparticularly global financial institutions that move money

Article

K&L Gates | USA | 14 Nov 2016

Fraud-Prevention Resources for Online Lenders

Several resources existand are receiving renewed attentionto combat fraud committed during the online-lending process. With cybercrime on the rise

Article

K&L Gates | USA | 4 Nov 2016

FinCEN Looks to Financial Institutions to File SARs Regarding Cyber-Events

On October 25, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued an advisory (the “Advisory”) explaining the obligations a “financial

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