News & Analysis as of

Enforcement Actions Consultation

Latham & Watkins LLP

Hong Kong SFC Consults on Enhancements to Anti-Money Laundering Guideline

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Amidst its continued regulatory focus on money laundering and terrorist financing risks, the SFC seeks to clarify and consolidate guidance for licensed firms. On 18 September 2020, the Hong Kong Securities and Futures...more

Latham & Watkins LLP

Private Bank Briefing: Issues Impacting the Private Bank Sector - September 2019

Latham & Watkins LLP on

On 23 July 2019, the FCA published a Dear CEO letter on its wealth management and stockbroking supervision strategy, which began in April 2019. The strategy includes work to identify, diagnose, and remedy the harm that wealth...more

Shook, Hardy & Bacon L.L.P.

Food & Beverage Litigation Update l July 2019 #4

LEGISLATION, REGULATIONS & STANDARDS - FDA Issues Warning Letter to CBD Co. for Unsubstantiated Claims - The U.S. Food and Drug Administration (FDA) has issued a warning letter to Curaleaf Inc. for “illegally selling...more

Latham & Watkins LLP

Private Bank Briefing: Issues Impacting the Private Bank Sector

Latham & Watkins LLP on

On 23 January 2019, the FCA published a Consultation Paper (CP19/4) concerning further amendments to the Senior Managers and Certification Regime (SMCR). For private banks which are already subject to the SMCR, the...more

Stinson - Corporate & Securities Law Blog

SEC Tags Private Equity Group for Accelerated Fees

The SEC entered into an agreed settlement with a private equity group for receiving accelerated fees without the consent of all necessary parties prior to the commitment of capital....more

Manatt, Phelps & Phillips, LLP

Financial Services Law -- Dec 09, 2013

#Badidea: JPMorgan Chase Stumbles on Twitter - JPMorgan Chase’s recent activity on Twitter provides an example of the need for financial institutions to use caution when using social media....more

Goodwin

OCC Issues Guidance and Establishes Standards Regarding Banks’ Usage of Independent Consultants in Connection with Compliance with...

Goodwin on

The OCC issued guidance (the “Guidance,” OCC Bulletin 2013-33) that establishes standards that the OCC will use when it requires national banks, federal savings associations or federal branches or agencies (collectively,...more

Katten Muchin Rosenman LLP

OCC Publishes Standards on the Use of an Independent Consultant

On November 12, the Office of the Comptroller of the Currency (OCC) published standards governing the use of independent consultants in enforcement actions “involving significant violations of law, fraud, or harm to...more

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