12/20/2021
The public will have an opportunity to submit comments within 45 days after the proposed stock repurchase disclosure rules are published in the Federal Register.
12/20/2021
Firm also agrees to implement significant improvements to its compliance controls
12/20/2021
These actions are a violation of federal law, which requires all financial institutions to keep records of customer communications so that regulators can check whether companies are violating anti-fraud or antitrust laws.
12/19/2021
These regulations will represent a sea change in law enforcement’s efforts to shed light on an otherwise opaque market.
12/17/2021
The registration and disclosure requirements may be particularly relevant to banks and investment fund structures that establish legal entities in connection with financings and corporate acquisitions.
12/16/2021
US central bank’s review into the collapse of the hedge fudge could lead to further action, Fed warns
12/15/2021
The company pleaded guilty in 2016 to conspiracy to violate anti-bribery provisions of the U.S. Foreign Corrupt Practices Act.
12/14/2021
As part of the implementation for settlement in US dollar, Canadian dollar, GBP and euro transaction, both banks have agreed to the Baton Rulebook, a framework designed to provide legal certainty around settlement finality.
12/14/2021
Funds and advisers should also monitor and manage any conflicts of interest associated with the transition
12/14/2021
The early rollovers of UITs caused customers to incur potentially excessive sales charges, FINRA reported.
12/13/2021
In combination, companies can easily take steps to comply with these national and regional requirements, as well as easily understand when regulatory changes occur.
12/13/2021
Improving Diplomatic Engagement and Leveraging Foreign Assistance Resources to Achieve AntiCorruption Policy Goals.
12/12/2021
FinCEN strongly encourages the public to submit written comments in response to the ANPRM.
12/12/2021
FinCEN strongly encourages all interested parties, including those that would be affected by the proposed beneficial ownership information reporting rule, to submit written comments.
12/12/2021
Few jurisdictions in the United States require legal entities to disclose information about their beneficial owners—that is, the people who actually own or control a company—or the persons forming them.
12/10/2021
The Series B was led by global investment manager Cotaue, who has also invested in TikTok, Deel and fellow Mexican unicorn Bitso.
12/10/2021
Targeting “terrorists, criminals and kleptocrats”
12/09/2021
U.S. Law Firm Industry wraps up one of the strongest years on record with growth levels not seen since pre-2008
12/08/2021
The SEC also declined to provide a non-exclusive list of appropriate documentation.
12/07/2021
While a multi-pronged approach using many sources of information is welcome, a central beneficial ownership register should become mandatory for all countries, without allowing for “alternative mechanisms”.