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...
Financial services regulatory reform continues to be active in 2021, with the Biden Administration focused on activity at the intersection of financial regulation and social policy. As we...
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...
Webinar
1.0 CA - General; NY - Professional Practice / Practice Management
Davis Polk’s webinar discusses some of this year’s key enforcement trends and developments in U.S. sanctions, anti-money laundering and other corporate actions. Topics include:
Key...
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. ...
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...
Davis Polk’s webinar on the SEC’s renewed focus on deficiencies in monitoring and reporting suspicious activities by financial institutions, particularly as it relates to penny stocks...
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 Fed’s recent proposal marks the latest development on one of the most important policy questions for the U.S. financial system today: who is entitled to have a master account? A mas...
Davis Polk partner Dan Stipano recently authored “New AML law will help banks deter illicit finance. But there’s a catch.” in American Banker. The article discusses the potential im...
