There has recently been an increase in class action lawsuits against banks and credit unions challenging the manner in which those institutions charge overdraft and non-sufficient funds fees. This alert provides an overview...more
On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN) proposed an anti-money laundering rule applicable to SEC-registered investment advisers (RIAs). The proposed rule would require RIAs to establish...more
9/25/2015
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Banking Sector ,
Banks ,
Broker-Dealer ,
BSA/AML ,
Compliance ,
Currency Transaction Reports (CTR) ,
Filing Requirements ,
Financial Institutions ,
FinCEN ,
Investment Adviser ,
Money Laundering ,
Patriot Act ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
SAR ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)