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News & Commentary on Financial Regulatory and Compliance Matters

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FRB and FinCEN Propose Significant Amendments to Recordkeeping and Travel Rule Regulations

By Carl A. Fornaris, Kyle R. Freeny & Marina Olman-Pal on October 29, 2020
Posted in banking, Banks, Blockchain, Compliance, Featured, Financial Regulation, GT Alert, Regulatory Compliance, white collar

On Oct. 23, 2020, the U.S. Department of the Treasury, Financial Crimes Enforcement Network (FinCEN) and the Board of Governors of the Federal Reserve System (FRB) (FinCEN and the FRB

…
Continue Reading FRB and FinCEN Propose Significant Amendments to Recordkeeping and Travel Rule Regulations

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SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets

By Carl A. Fornaris, Barbara A. Jones, William Mack & Jocelyn M. Coney on October 8, 2020
Posted in banking, Banks, Blockchain, Brokers, Compliance, convertible virtual currency, cryptocurrency, Cybersecurity, Featured, Financial Regulation, Financial Services Litigation, FINRA, GT Alert, Litigation, SEC, Securities, Securities and Exchange Commission, Technology, Virtual Currency

On Sept. 25, 2020, the SEC issued a No-Action Letter to FINRA, in response to a previously issued Joint Statement by the SEC and FINRA. This No-Action Letter detailed how…
Continue Reading SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets

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Webinar – Aug. 20: LIBOR Phaseout – Preparing for the Beginning of the End

By Kyra Rooney on August 19, 2020
Posted in Compliance, Events, Featured, Financial Regulation, Financial Services Litigation, GT Alert, LIBOR, Litigation, Regulatory Compliance

On Thursday, Aug. 20 at 11 a.m. EST, join GT Shareholders Carl Fornaris and Oscar Stephens for a complimentary webinar on the status of the phaseout of LIBOR, current trends…
Continue Reading Webinar – Aug. 20: LIBOR Phaseout – Preparing for the Beginning of the End

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OCC Final Rule Modernizing the Community Reinvestment Act Includes New Incentives for Investing in Indian Country

By Jennifer H. Weddle & Gil Rudolph on June 18, 2020
Posted in banking, Banks, Compliance, Financial Regulation, Financial Services Litigation, Investment Regulation, Regulatory Compliance, sustainable finance

On May 20, 2020, the Office of the Comptroller of the Currency (OCC), which regulates national banks, released a Final Rule intended to strengthen and modernize the implementation of the

…
Continue Reading OCC Final Rule Modernizing the Community Reinvestment Act Includes New Incentives for Investing in Indian Country

OCC Forum on Responsible Innovation

By Anna Gryska & Norman R. Miller on June 29, 2016
Posted in Financial Regulation, Fintech, Risk Management

On June 23, 2016 the Office of the Comptroller of the Currency (OCC) hosted the Forum on Responsible Innovation in the Federal Banking System in Washington, D.C. Hundreds of industry…
Continue Reading OCC Forum on Responsible Innovation

FinCEN Finalizes Customer Due Diligence Rule

By Carl A. Fornaris on May 26, 2016
Posted in Client Alert, Due Diligence, Financial Crimes Enforcement Network, Securities

May 6, 2016, the Financial Crimes Enforcement Network of the U.S. Department of the Treasury (FinCEN) finalized regulations that will require banks, securities broker dealers, mutual funds, futures commission merchants,…
Continue Reading FinCEN Finalizes Customer Due Diligence Rule

FINRA Announces Rule 2273, Requiring Broker’s New Firm to Send “Educational Communication” to Broker’s Customers Before Transfer of the Customer’s Assets to the New Firm

By John K. Wells on May 25, 2016
Posted in Brokers, FINRA

FINRA has issued a regulatory notice (RN 16-18) regarding new Rule 2273, which requires member firms, when hiring a new broker from the competition, to send an “educational communication” to…
Continue Reading FINRA Announces Rule 2273, Requiring Broker’s New Firm to Send “Educational Communication” to Broker’s Customers Before Transfer of the Customer’s Assets to the New Firm

Nanette Aguirre Joins Board of Florida Alternative Investment Association

By Greenberg Traurig on March 9, 2016
Posted in Firm News

Nanette Aguirre, a shareholder in the New York City office of Greenberg Traurig, LLP, has joined the board of Florida Alternative Investment Association (FLAIA). FLAIA is a…
Continue Reading Nanette Aguirre Joins Board of Florida Alternative Investment Association

Leap Year Impacting Regulatory Filing Dates for Investment Advisers

By Richard M. Cutshall on March 4, 2016
Posted in Regulatory Compliance

As a reminder, Rule 204-1 under the Investment Advisers Act of 1940 requires that all investment advisers amend their Form ADV filing at least annually, and do so within 90…
Continue Reading Leap Year Impacting Regulatory Filing Dates for Investment Advisers

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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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Webinar – Aug. 20: LIBOR Phaseout – Preparing for the Beginning of the End

On Thursday, Aug. 20 at 11 a.m. EST, join GT Shareholders Carl Fornaris and Oscar Stephens for a complimentary webinar…

Greenberg Traurig’s Nanette Aguirre to Speak at Florida Alternative Investment Association Global Macro Perspective 2018

Nanette Aguirre, corporate shareholder, will participate in the Florida Alternative Investment Association (FLAIA) Global Perspective 2018 Conference in Miami,…

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  • The Anti-Money Laundering Act of 2020: Congress Enacts the Most Sweeping AML Legislation Since Passage of the USA PATRIOT Act

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