Examiners at the Securities and Exchange Commission (SEC) will be asking tough questions of registered firms regarding how they handle risks related to operational security, interact with financial ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
As the 20th anniversary of the USA Patriot Act approaches, reform of the Bank Secrecy Act and anti-money-laundering regulation is on the horizon. Congress recently passed the Anti-Money Laundering Act ...
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