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...
The Securities and Exchange Commission’s (SEC) Division of Examinations (the Staff) recently issued a risk alert reminding broker-dealers (firms) of their obligations under anti-money l...
The use of artificial intelligence and machine learning (AI) in the financial sector has become a high priority for the U.S. financial regulators. In a rare event, five of them have joine...
Financial services regulatory reform will continue to be active in 2021, with the Biden Administration focused on activity at the intersection of financial regulation and social policy. ...
Digital dollars and central bank digital currencies (CBDC) are in the spotlight, and questions abound as to the potential design, availability and functionality of a CBDC in the United St...
Davis Polk partner Zachary Zweihorn was the contributing editor for the 2021 edition of Getting the Deal Through: Financial Services Compliance, a compilation of the rules and approaches ...
Davis Polk partner Zachary Zweihorn and senior counsel Annette Nazareth co-authored the “Federal Securities Regulation: Securities Act and Exchange Act” section of the American Bar As...
A recent SEC conditional no-action position (the “No-Action Statement”) has further opened the regulatory door to trading of digital asset securities (“DAS”), by allowing certain ...
This deck describes our view of the road ahead for financial regulatory reform under a Biden Presidency, and updates the deck we published shortly after the 2020 election to reflect the D...
This deck describes our view of the road ahead for financial regulatory reform under a Biden Presidency and a Republican Senate. We see most of the action coming from the regulators, not...
