News & Analysis as of

Broker-Dealer Personal Benefit

Katten Muchin Rosenman LLP

Bridging the Week - May 2016 #4

Two Related Broker-Dealers To Pay US $17 Million for Widespread AML Compliance Failures; Former AML Compliance Officer Also Sanctioned: Raymond James & Associates, Inc. (RJA), Raymond James Financial Services, Inc....more

Latham & Watkins LLP

The Circuits Are Split: Are Tangible Benefits Required for Insider Trading Liability?

Latham & Watkins LLP on

The Ninth Circuit’s recent decision calls into question the Second Circuit’s definition of “personal benefit” for insider trading liability in criminal prosecutions. On July 6, 2015, United States District Court Judge...more

Katten Muchin Rosenman LLP

Bridging the Week - December 2014 #3

US Judge Says Sentinel 2007 Transfers to BNY Mellon Cannot Be Reversed as Made in Good Faith - The Bank of New York Mellon Corporation (formerly Bank of New York) was absolved of having engaged in “egregious...more

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