Tag: compliance

Tracking the key areas of concern to SEC enforcement can be beneficial for issuers, investment advisers and others that may be subject to scrutiny by the Commission. For example, identifying those topics by reviewing the leading areas in which cases …

Avoiding that Subpoena: Large Trends; Mini-Trends Read More »

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Money laundering compliance is a critical area for banks, broker-dealers and others in the financial world. The importance of this area was recently highlighted by the passage of the Corporate Transparency Act or CTA to bolster the requirements. Indeed, Kenneth …

SEC’s Division of Exams on AML Compliance Read More »

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