Lauren Resnick

Lauren Resnick

BakerHostetler

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The Regulatory Pendulum: When is De-Risking by Financial Institutions Too Much?

In the environment of increasingly aggressive regulatory and criminal enforcement of anti-money laundering (AML) violations, concerns about de-risking – when financial institutions close accounts or restrict access to new...more

6/16/2016 - Anti-Money Laundering Counter-Terrorist False Claims Act (FCA) FATF Financial Institutions FinTech Money Services Business UK

SEC Sanctions Broker-Dealer for Paper-Only AML Program

On June 1, 2016, the Securities and Exchange Commission (SEC) for the first time ever charged a broker-dealer in a stand-alone action for failing to file suspicious activity reports (SARs) as required by the federal...more

6/9/2016 - Anti-Money Laundering Bank Secrecy Act Broker-Dealer SEC Suspicious Activity Reports

Foreign Corrupt Practices Act 2015 Year-End Update

Both the United States Department of Justice (DOJ) and the United States Securities and Exchange Commission (SEC) have continued their focus on anticorruption enforcement in 2015. Although there was a decline in enforcement...more

4/20/2016 - Corporate Fraud Corruption Criminal Prosecution Deferred Prosecution Agreements DOJ FCPA Government Investigations SEC Self-Reporting Settlement White Collar Crimes Yates Memorandum

DOJ Attempts to Encourage Corporate Self-Disclosures With the Announcement of a One-Year FCPA Pilot Program

Pursuing a classic “carrot and stick” approach to incentivizing corporate self-disclosure of FCPA violations and individual wrongdoing connected to FCPA violations, the Department of Justice (DOJ) Fraud Section announced a...more

4/14/2016 - Corporate Counsel Criminal Penalties DOJ FCPA Federal Pilot Programs Federal Sentencing Guidelines Remediation Self-Reporting Voluntary Disclosure Yates Memorandum

Hedge Funds: A Look Toward 2016

BakerHostetler’s final hedge fund program of 2015 provided practical advice to hedge funds and investment advisers for the coming year. The presentations focused on “Hedge Fund Hot Topics for 2016,” “How to Effectively Manage...more

1/11/2016 - Anti-Money Laundering Cooperative Compliance Regime Fiduciary Duty FinCEN Hedge Funds Investment Adviser OCIE OFAC SEC Examination Priorities Suspicious Activity Reports

Global Tax Enforcement in 2016: What You Need to Know

The investigation and prosecution of tax evasion has, in the past decade, grown from a specialized subcategory of law enforcement into a first-tier policy concern for the international community. Financial institutions,...more

1/5/2016 - DOJ Enforcement Actions FACTA Financial Adviser Financial Institutions Foreign Banks IRS John Doe Investigation Swiss Banks Tax Evasion

AML and Investment Advisers: Understanding FinCEN's New Anti-Money Laundering Rules

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN) proposed rulemaking that would require registered investment advisers, including certain hedge funds and asset managers, to establish anti-money laundering...more

9/3/2015 - Anti-Money Laundering Bank Secrecy Act Banking Sector Banks Broker-Dealer BSA/AML Currency Transaction Reports (CTR) Enforcement Actions FATCA Financial Institutions Financial Regulatory Reform FinCEN Investment Adviser Money Laundering OFAC SEC Suspicious Activity Reports White Collar Crimes

Foreign Corrupt Practices Act 2014 Year End Update

Over the course of 2014, the Department of Justice (“DOJ”) and the Securities and Exchange Commission (“SEC”) have continued their aggressive enforcement of the Foreign Corrupt Practices Act (“FCPA”). This has led to critical...more

3/4/2015 - Corporate Counsel DOJ Enforcement Actions Enforcement Statistics FCPA Popular SEC

Foreign Corrupt Practices Act - 2014 Mid-Year Update

The first half of 2014 has seen several important developments in the enforcement of the Foreign Corrupt Practices Act (“FCPA”) as well as other anti-corruption laws worldwide. The FCPA has been in existence for more than 35...more

8/18/2014 - Compliance DOJ Enforcement Enforcement Actions FCPA Hewlett-Packard Popular SEC

Insuring Your Company Against Cyber-Attacks

Earlier this month, the Department of Justice announced the indictment of 13 individuals associated with the hacker organization Anonymous for a widespread scheme to disrupt and shut down commercial and government websites....more

10/17/2013 - Cyber Attacks Cybersecurity Distributed Denial of Service DOJ Hackers Websites

Corruption Enforcement Goes Global

As BakerHostetler recently reported in its FCPA Mid-Year Update, the phenomenon of parallel prosecutions is gaining popularity as more countries enact and enforce anti-corruption legislation....more

8/22/2013 - Anti-Corruption Canada Compliance Corruption Criminal Prosecution DOJ Enforcement FCPA SEC UK UK Bribery Act

In the Crossfire Why Private Equity Firms, Investment Funds & Their Managers Should Beware of the Foreign Corrupt Practices Act

Lance Armstrong and the world of competitive cycling has come under great scrutiny in recent days with the domination of the U.S. Postal team now undermined by the systematic doping that appears to have helped spur the team...more

7/25/2013 - Bribery Compliance Enforcement Ethics FCPA Fund Managers Government Officials Investment Firms Investment Funds Private Equity

The Navigator - Issue 1 Summer 2013

Welcome to the inaugural edition of BakerHostetler's The Navigator, your source for news, trends, research and reliable commentary on white collar defense, corporate investigations, monitorships, examinerships and...more

7/17/2013 - Compliance Corporate Governance Employer Liability Issues Enforcement Investigations White Collar Crimes

Federal Government Expands AML Cybercrime Enforcement

On Tuesday, May 28, 2013, the Department of Justice (DOJ) announced the unsealing of an indictment against Liberty Reserve, S.A. (Liberty Reserve) in the Southern District of New York for operating a $6 billion money...more

6/4/2013 - Cyber Crimes Cybersecurity DOJ Enforcement Fraud Hackers Money Laundering

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