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Record Retention Financial Institutions

Troutman Pepper

SEC Record Retention Enforcement Actions - The Consumer Finance Podcast

Troutman Pepper on

Please join Troutman Pepper Partners Chris Willis and Kim Phan for an in-depth discussion about the Securities and Exchange Commission's (SEC's) recent record retention enforcement actions. Chris and Kim explore the uptick in...more

Orrick, Herrington & Sutcliffe LLP

Kansas enacts financial institutions information security act

On April 20, the Kansas governor signed SB 44 to enact the Kansas financial institutions information security act. The Act establishes information security standards for covered entities, and applies to credit service...more

K&L Gates LLP

Message Received: SEC Zeros In On Off-Channel Communication

K&L Gates LLP on

INTRODUCTION - On 7 February 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its 2023 examination priorities. As expected, the Division’s priorities highlight areas...more

Morgan Lewis - Power & Pipes

FERC Compliance: Lessons Learned from CFTC Orders on Recordkeeping and Supervision Violations

The Commodity Futures Trading Commission (CFTC) issued orders on September 27, 2022, filing and settling charges against various affiliates of financial institutions for failing to maintain, preserve, or produce records that...more

Ankura

Data Management Strategies for Banking and Financial Services Organizations

Ankura on

Competent management of business information is a challenge for organizations across industries, but banking and financial services organizations face heightened information governance challenges that require dedicated...more

Proskauer - Corporate Defense and Disputes

Proposed AML Regulations for Registered Investment Advisers Released by FinCEN

On August 25, 2015, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) released proposed rules that would require investment advisers that are registered or required to be registered (RIAs)...more

Davis Wright Tremaine LLP

The Fourth European Union Anti-Money Laundering Directive and Its Effects on Financial Institutions Operating in the EU

The Fourth European Union Anti-Money Laundering Directive (Fourth AML Directive), approved by the European Parliament on May 20, 2015, went into effect on June 25, 2015, repealing the 2005 Third AML Directive. Given the...more

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