Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights June 18, 2021 Articles & Books The Banking Regulation Review - Edition 12 Davis Polk partners Luigi De Ghenghi and John Banes and counsel Karen Pelzer recently authored the 12th edition of The… June 17, 2021 Client Update Basel Committee consultation on prudential treatment of cryptoassets June 14, 2021 Client Update President Biden amends restrictions on connected software applications linked to Chinese companies For the second time this month, the Biden administration has put its own stamp on China-related sanctions put into place by… June 14, 2021 Client Update UK government consults on powers to block listings on national security grounds On 7 June 2021, the UK government opened a consultation on proposed powers to allow it to block listings that raise national… June 7, 2021 Client Update President Biden resets sanctions targeting U.S. investment in companies linked to China’s military On June 3, 2021, President Biden issued Executive Order 14032, which effectively rescinds and replaces the sanctions put… June 10, 2021 Webinar SEC risk alert on compliance issues related to suspicious activity monitoring and reporting at broker-dealers Please join us for a webinar on the SEC’s renewed focus on deficiencies in monitoring and reporting suspicious activities by… May 25, 2021 Client Update Private sector implications of Biden’s Executive Order on Climate-Related Financial Risk The Executive Order on Climate-Related Financial Risk is the latest significant step by the Biden Administration to analyze… April 14, 2021 Client Update SEC continues focus on broker-dealer anti-money laundering compliance The Securities and Exchange Commission’s (SEC) Division of Examinations (the Staff) recently issued a risk alert reminding… May 21, 2021 Articles & Books Getting the Deal Through: Financial Services Compliance 2021 Davis Polk partner Zachary Zweihorn was the contributing editor for the 2021 edition of Getting the Deal Through: Financial… May 17, 2021 Client Update Broker-dealer assessed $1.5 million penalty for suspicious activity reporting violations relating to cyber intrusions The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activity… Load More
June 18, 2021 Articles & Books The Banking Regulation Review - Edition 12 Davis Polk partners Luigi De Ghenghi and John Banes and counsel Karen Pelzer recently authored the 12th edition of The…
June 14, 2021 Client Update President Biden amends restrictions on connected software applications linked to Chinese companies For the second time this month, the Biden administration has put its own stamp on China-related sanctions put into place by…
June 14, 2021 Client Update UK government consults on powers to block listings on national security grounds On 7 June 2021, the UK government opened a consultation on proposed powers to allow it to block listings that raise national…
June 7, 2021 Client Update President Biden resets sanctions targeting U.S. investment in companies linked to China’s military On June 3, 2021, President Biden issued Executive Order 14032, which effectively rescinds and replaces the sanctions put…
June 10, 2021 Webinar SEC risk alert on compliance issues related to suspicious activity monitoring and reporting at broker-dealers Please join us for a webinar on the SEC’s renewed focus on deficiencies in monitoring and reporting suspicious activities by…
May 25, 2021 Client Update Private sector implications of Biden’s Executive Order on Climate-Related Financial Risk The Executive Order on Climate-Related Financial Risk is the latest significant step by the Biden Administration to analyze…
April 14, 2021 Client Update SEC continues focus on broker-dealer anti-money laundering compliance The Securities and Exchange Commission’s (SEC) Division of Examinations (the Staff) recently issued a risk alert reminding…
May 21, 2021 Articles & Books Getting the Deal Through: Financial Services Compliance 2021 Davis Polk partner Zachary Zweihorn was the contributing editor for the 2021 edition of Getting the Deal Through: Financial…
May 17, 2021 Client Update Broker-dealer assessed $1.5 million penalty for suspicious activity reporting violations relating to cyber intrusions The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activity…