Michael  Gilbert

Michael Gilbert

Dechert LLP

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Latest Publications


FinCEN Proposes Anti-Money Laundering Regulation for Investment Advisers

The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking on August 25, 2015,1 pertaining to all investment advisers registered or required to be registered...more

9/23/2015 - Anti-Money Laundering Bank Secrecy Act Compliance FinCEN Investment Adviser NPRM Recordkeeping Requirements Registered Investment Advisors Suspicious Activity Reports U.S. Treasury

Proposed Anti-Money Laundering Regulation for Investment Advisers Passes First Hurdle, Gets OMB Approval

There has recently been speculation about a new U.S. rule that would potentially subject investment advisers to the same types of anti-money laundering (“AML”) regulations that govern banks. Now, the speculation is over....more

8/18/2015 - Anti-Money Laundering Bank Secrecy Act BSA/AML FinCEN Investment Adviser OMB

DOJ Hires Corporate Compliance Program Expert

In a somewhat surprising development, press outlets reported last week that the U.S. Department of Justice (“DOJ”) has hired a corporate compliance program expert who will work alongside federal prosecutors evaluating whether...more

8/14/2015 - Board of Directors Compliance Criminal Investigations DOJ FCPA Fraud Publicly-Traded Companies UK Bribery Act

Will Anti-Money Laundering Regulations be Extended to Investment Advisers?

It has been more than a decade since the Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) first proposed imposing anti-money laundering (“AML”) requirements on investment advisers. While FinCEN has yet to...more

6/25/2015 - Anti-Money Laundering Banking Sector Financial Institutions FinCEN Investment Adviser

U.S. v. Ganias: Second Circuit Limits Government’s Ability to Use Electronic Material Seized Beyond Scope of Warrant for Different...

In a recent decision that provides important guidance in the developing law related to government seizure of electronic records in criminal investigations, on June 17, 2014, the United States Court of Appeals for the Second...more

6/26/2014 - Data Collection Electronically Stored Information Fourth Amendment Search Warrant Warrantless Searches White Collar Crimes

In What Circumstances Can Foreign Nationals Be Held Liable for Violating The Foreign Corrupt Practices Act?

In the last two weeks, in two separate SEC enforcement actions, judges in the United States District Court for the Southern District of New York issued rulings addressing when the United States Securities and Exchange...more

2/25/2013 - Bribery Email Enforcement Actions FCPA Foreign Nationals Minimum Contacts Motion to Dismiss NYSE Personal Jurisdiction Sarbanes-Oxley SEC SEC v Sharef SEC v Straub Siemens Statute of Limitations

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