Searching Content indexed under Finance and Banking by Joseph Moreno ordered by Published Date Descending.
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Senators Introduce Bill To Require Reporting Of Beneficial Ownership Information
A bipartisan group of senators introduced a bill which would impose federal beneficial ownership reporting requirements
United States
8 Oct 2019
House Financial Services Subcommittee Considers Testimony On Mitigating The Risks Of AI
Witnesses before the House Financial Services Committee Task Force (the "Task Force") on Artificial Intelligence provided testimony
United States
23 Sep 2019
Senators Propose Requiring Reporting Of Beneficial Ownership Information
United States Senate Banking Committee members Mark Warner (D-VA), Tom Cotton (R-AR), Doug Jones (D-AL) and Mike Rounds (R-SD
United States
21 Jun 2019
CFTC Joins Fight Against Foreign Corruption
CFTC Division of Enforcement Director James McDonald pledged to enforce CEA provisions that encompass foreign corrupt practices and issued an Enforcement Advisory on cooperation and self-reporting for violations of...
United States
18 Mar 2019
SEC Settles Actions Involving Digital Securities
A privately owned company and two individuals settled SEC charges of conducting unregistered securities transactions and acting as unregistered broker-dealers in digital securities.
United States
14 Sep 2018
NY DFS Approves Two New Dollar-Pegged Cryptocurrencies
The New York State Department of Financial Services ("DFS") authorized two companies to offer price-stable cryptocurrencies ("stablecoins") pegged to the U.S. dollar.
United States
13 Sep 2018
FinCEN Provides Permanent Relief From Beneficial Ownership Rule For Rollovers And Renewals
FinCEN described the relief as strictly limited to rollovers, renewals, modifications or extensions of any of the above occurring on or after May 11, 2018.
United States
12 Sep 2018
SEC Rejects Another Nine Proposed Bitcoin ETFs
The SEC Division of Trading and Markets rejected applications for nine exchange-traded funds ("ETFs") tied to bitcoin futures markets from three separate companies – ProShares, Direxion, and GraniteShares – on the grounds that they lacked adequate means of preventing "fraudulent and manipulative acts and practices."
United States
3 Sep 2018
FINRA Encourages Firms To Report Activities Related To Digital Assets
FINRA urged firms to notify their FINRA Regulatory Coordinators in writing if they, or their associated persons or affiliates, are currently engaging in or intend to engage ...
United States
26 Jul 2018
CFTC Warns Of Risks Of Purchasing Digital Coins And Tokens
The CFTC warned customers to conduct thorough research before purchasing digital coins or tokens (including self-described "utility coins" and "consumption coins").
United States
24 Jul 2018
Attorney Settles Charges Of Illegally Selling Blockchain-Related Securities
An attorney and the business affairs manager of his law firm agreed to settle SEC charges of illegally selling shares of a company focused on the application of blockchain technology for food, drugs and healthcare.
United States
19 Jul 2018
Equifax Reaches Agreement With States To Improve Cybersecurity Standards
Consumer credit reporting agency Equifax agreed to a Consent Order with the New York State Department of Financial Services ("NYDFS") and seven other state banking regulators that will require the company ...
United States
12 Jul 2018
House To Consider Raising BSA Thresholds And Providing CDD Safe Harbor
Congressmen Steve Pearce (R-NM) and Blaine Luetkemar (R-MO) introduced legislation that would increase longstanding reporting thresholds for financial institutions subject to the Bank Secrecy Act...
United States
25 Jun 2018
FinCEN Calls Attention To Transactional Red Flags Associated With International Corruption
The U.S. Treasury Department Financial Crimes Enforcement Network ("FinCEN") issued an advisory describing how corrupt foreign "politically exposed persons" ("PEPs") access the U.S. financial system.
United States
14 Jun 2018
House Committee Considers Implementation Issues Of The Customer Due Diligence Rule
The House Financial Services Committee considered several challenges associated with implementation of the Financial Crimes Enforcement Network ("FinCEN") Customer Due Diligence...
United States
2 May 2018
FinCEN Provides Additional Guidance On Upcoming Customer Due Diligence Requirements
The U.S. Treasury Department's Financial Crimes Enforcement Network issued a new set of FAQs in advance of the upcoming customer due diligence rule that goes into effect on May 11, 2018.
United States
5 Apr 2018
FinCEN Extends Geographic Targeting Order In High-End Real Estate Markets
The Financial Crimes Enforcement Network ("FinCEN") reportedly extended a Geographic Targeting Order ("GTO") originally imposed in 2016 to flag potential money-laundering ...
United States
4 Apr 2018
Thirty-Two Senators Sign Letter To CFPB Questioning Status Of Equifax Investigation
Thirty-two U.S. Senators issued a letter to the Consumer Financial Protection Bureau ("CFPB") seeking to confirm whether its investigation into the Equifax data breach has been halted.
United States
13 Feb 2018
NY DFS Issues Anti-Fraud Guidance For Virtual Currency Entities
In addition, the guidance calls for attributes that would be considered compliance best practices, including written policies and procedures, the immediate investigation of fraud or wrongdoing, and the documentation of any remediation steps taken to prevent future issues.
United States
12 Feb 2018
House Subcommittee Examines CFIUS, New Bipartisan Legislation Would Expand Authority
The House Financial Services Subcommittee on Monetary Policy and Trade reviewed the history and operations of the Committee on Foreign Investment in the United States ("CFIUS").
United States
18 Dec 2017
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