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On March 28, 2024, the US Department of the Treasury's Financial Crimes Enforcement Network ("FinCEN"), in consultation with the staffs of the federal banking agencies...
The United States Department of Commerce (Commerce) issued a notice of proposed rulemaking (NPRM) seeking comments on new proposed regulations that would, if enacted, impose extensive...
On September 15, 2023, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) announced its first “Gap Rule” enforcement action in a Consent Order with...
On July 31, 2023, the SEC’s Division of Examinations issued a risk alert presenting observations regarding deficiencies with respect to compliance…
Last month, the U.S. Securities and Exchange Commission (SEC) took a refreshed look at how broker-dealers are complying with anti-money laundering rules. What auditors discerned — as...