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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