On Sept. 29, 2022, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a final rule, effective Jan. 1, 2024, implementing the beneficial ownership information reporting
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Arthur Don to Speak at ACA’s Spring 2017 Compliance Conference in Florida
Arthur Don, co-chair of the Investment Regulation Group, will participate in the ACA Spring 2017 Compliance Conference, Thursday, May 4, in Florida.
Arthur will speak on the panel,…
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OCC Lays Groundwork for National Fintech Charters
Recently, the OCC has begun to lay the groundwork for future national fintech charters, relying on an existing federal law which grants the OCC receivership powers over non-depositary financial institutions, …
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SEC Charges two Businesses for Acting as Unlicensed Broker-Dealers in EB-5 sales
Yesterday, the U.S. Securities and Exchange Commission (SEC) ordered a US-based foreign finder operation to cease and desist from operation as an unlicensed broker-dealer. The charges are some of the…
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