The Biden administration issued the first United States Strategy on Countering Corruption on December 6, 2021, as directed in President Biden’s June 3, 2021, National Security Study Mem...
FinCEN’s proposed rule addresses requirements for reporting companies to submit their beneficial ownership and company applicant information to the agency, the first of three rules crea...
On Thursday, October 28, 2021, Deputy Attorney General Lisa Monaco announced significant changes to the DOJ’s corporate enforcement program during her speech at the ABA’s National Insti...
In a recent speech, PADAG John Carlin previewed DOJ’s refocused corporate enforcement efforts and priorities. He addressed a variety of topics, including an upcoming review and revision...
The CFTC and FinCEN recently announced a settlement with BitMEX for $100 million to resolve an enforcement action related to the exchange’s failure to register as a futures commission m...
FinCEN recently issued the much-anticipated national AML/CFT priorities and announced its intention to implement a no-action letter process to complement to its current regulatory guidanc...
The SEC filed an enforcement action involving a public company’s cybersecurity disclosure. The action highlights the need for executives responsible for SEC reporting to be informed pro...
The House of Representatives has passed a bill on a bipartisan basis that would be the first statute directly banning insider trading in the securities markets. The bill largely would pr...
The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activity Reports (SARs) reinforces the SEC’s focus on anti-money laun...
