In this issue:
- SEC Division of Corporation Finance Issues 14 New C&DIs Relating to “Bad Actor” Rules
- NASDAQ Proposes Change to Listing Rules Regarding Compensation Committee Independence
- FINRA Issues New Rules on Securities Borrowing, Customer Protection and Callable Securities
- Trade Associations File Lawsuit Over CFTC’s Cross-Border Guidance
- CFTC Delays Transaction-Level Requirements for Certain Non-US SD Transactions
- CFTC Open Meeting on Proprietary Trading and Block Trading
- NFA Issues Guidance on Affirmation Process for CPO and CTA Exemptions and Exclusions
- Delaware Supreme Court Defines Unexhausted Insurance Policies as Property of Dissolved Corporations
- District Court Denies Class Certification For Text Message Recipients Where Issue of Consent Predominate
- Gruss v. Zwirn: SDNY Strikes a Blow Against Selective Waiver
- Three Financial Regulators Set Volcker Rule Meeting Date
- FinCEN Issues Advisory on Jurisdictions with AML/CFT Deficiencies
- Excerpt from: FinCEN Issues Advisory on Jurisdictions with AML/CFT Deficiencies -
The Financial Crimes Enforcement Network (FinCEN) on December 4 issued an advisory to financial institutions based on the Financial Action Task Force’s updated lists of jurisdictions with strategic anti-money laundering and counter-terrorist financing deficiencies. These changes affect US financial institutions’ obligations and risk-based approaches with respect to relevant jurisdictions.
Please see full newsletter below for more information.
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Topics: Bad Actors, CFTC, CPO, CTA, FINRA, Nasdaq, NFA, SEC, Swaps
Published In: General Business Updates, Communications & Media Updates, Finance & Banking Updates, International Trade Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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