FINANCIAL SERVICES AND REGULATORY LAW

Scarinci Hollenbeck’s Corporate Transactions and Business practice group regularly provides content on various aspects of financial services and regulatory law. To receive our attorneys’ financial services and regulatory law articles please subscribe to our email list.

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New CFTC Guidance Offers a Roadmap for Reduced Fines

The Commodity Futures Trading Commission recently issued new Guidance that makes it clear that companies will be rewarded for good behavior... The Commodity Futures Trading Commission (CFTC or Commission) recently issued new Guidance that makes it clear that companies will be rewarded for good behavior. The CFTC’s Division of Enforcement...

BY: Paul A. Lieberman

Key Takeaways from FinCEN’s AML Enforcement Guidance
The Financial Crimes Enforcement Network (FinCEN) recently issued the first of its kind guidance describing its enforcement approach to enforcing...
FINRA Wants to Know If Broker-Dealers Are Involved in Digital Assets
The Financial Industry Regulatory Authority (FINRA) is ‘encouraging’ broker-dealers to keep it informed about their activities involving digital assets... The...
Client Alert: SEC and FINRA issue Regulatory Relief During COVID-19 Pandemic
On March 23, 2020, the National Society of Compliance Professionals (“NSCP”) convened regulators and industry experts to discuss regulatory guidance...

FINANCIAL SERVICES AND REGULATORY LAW

Scarinci Hollenbeck’s Corporate Transactions and Business practice group regularly provides content on various aspects of financial services and regulatory law. To receive our attorneys’ financial services and regulatory law articles please subscribe to our email list.

New CFTC Guidance Offers a Roadmap for Reduced Fines

Key Takeaways from FinCEN’s AML Enforcement Guidance

FINRA Wants to Know If Broker-Dealers Are Involved in Digital Assets

Client Alert: SEC and FINRA issue Regulatory Relief During COVID-19 Pandemic

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