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4 results for: financial crime

Federal Agencies Propose Customer Identification Program Requirements for Investment Advisers: Another Step Toward Comprehensive AML/CFT Regulation

29 May, 2024

Federal Agencies Propose Customer Identification Program Requirements for Investment Advisers: Another Step Toward Comprehensive AML/CFT Regulation

By David Sewell Timothy Clark Nariné Atamian +2 more...

On May 13, 2024, the Financial Crimes Enforcement Network (FinCEN) and the US Securities and Exchange Commission (the SEC) took another...

“Bridgegate’s” Shadow: US Department of Justice Asks Second Circuit to Reverse Insider Trading Conviction After Supreme Court Rules in Kelly v. US

22 Apr, 2021

“Bridgegate’s” Shadow: US Department of Justice Asks Second Circuit to Reverse Insider Trading Conviction After Supreme Court Rules in Kelly v. US

By Daniel Braun Kimberly Zelnick Mark Goldberg

Earlier this month, the US Attorney’s Office for the Southern District of New York (SDNY) filed an unusual appellate brief in which the...

AML Update: OCC identifies compliance as a top risk in 2020

07 Dec, 2020

AML Update: OCC identifies compliance as a top risk in 2020

By Olivia Radin Jane Peng

Last month, the Office of the Comptroller of the Currency (OCC) released its Semiannual Risk Perspective Report identifying the key risks...

AML update: focus on cross-border transactions and virtual currency

10 Nov, 2020

AML update: focus on cross-border transactions and virtual currency

By Olivia Radin Jane Peng

The Federal Reserve Board (FRB) and Financial Crimes Enforcement Network (FinCEN) are continuing to focus on cross-border money flows, as...

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