Searching Content indexed under Government, Public Sector by Edward G. Eisert ordered by Published Date Descending.
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OCC Issues Responsible Innovation Framework
The OCC announced that it will establish an office "dedicated to responsible innovation and implement a formal framework...
United States
9 Nov 2016
NY DFS Adopts Final Anti-Terrorism And Anti-Money Laundering Regulation
On June 30, 2016, the New York Department of Financial Services ("NY DFS") adopted a final anti-terrorism and anti-money laundering regulation...
United States
18 Jul 2016
Treasury Announces Key Regulations And Legislation To Counter Money Laundering And Corruption, Combat Tax Evasion
On May 5, 2016, the U.S. Department of the Treasury announced several actions to strengthen financial transparency.
United States
16 May 2016
FinCEN Proposes Funding Portals Regulations Under Bank Secrecy Act
On April 4, 2016, the Financial Crimes Enforcement Network, a bureau of the Department of the Treasury ("FinCEN"), proposed amendments to the definitions of ''broker or dealer in securities''...
United States
15 Apr 2016
New York State Department Of Financial Services Superintendent's Regulations Impose Strict Senior Officer Certification Requirements On Financial Institutions
The last four years has seen a trend of increased law enforcement and regulatory investigations into financial institutions for sanctions violations and anti-money laundering, or Bank Secrecy Act ("BSA"), compliance.
United States
4 Jan 2016
FinCEN Proposes New Rule Requiring Anti-Money Laundering Programs For Registered Investment Advisers
On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking (NPRM) that would define investment advisers registered...
United States
7 Sep 2015
JMLSG Board Has Published Draft Guidance On Private Equity For Consultation
On October 29, the Joint Money Laundering Steering Group (JMLSG) published for comment, a revised anti-money laundering and counter-terrorist financing guidance on Private Equity.
European Union
11 Nov 2014
Fed Issues Report On The Economic Well-Being Of U.S. Households
On August 7, the Fed provided a snapshot of the self-perceived financial and economic well-being of U.S. households and the issues they face, based on responses to the Board’s 2013 Survey of Household Economics and Decisionmaking.
United States
18 Aug 2014
Council Of EU Agrees On General Approach On The Fourth Money Laundering Directive And Revised Wire Transfer Regulation
The Council of the EU published a note outlining the general approach of the Presidency of the Council of the EU to the proposed Fourth Money Laundering Directive.
European Union
3 Jul 2014
FCA Publishes Regulation Round-Up
The Financial Conduct Authority published its May issue of regulation round-up, a newsletter providing details of the FCA’s recent activity.
5 Jun 2014
Financial Industry Week In Review - 03-10-2014
The Fed, the FDIC, and the OCC issued final guidance which describes supervisory expectations for stress tests to be conducted by financial companies.
United States
19 Mar 2014
Council Of The EU Presidency Compromise Proposal On MLD4
On March 3, the Council of the EU published a compromise proposal (dated January 28, 2014) on the European Commission’s proposed Directive on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing (known as the Fourth Money Laundering Directive or MLD4).
European Union
18 Mar 2014
BCBS Finalizes Risk Management Guidelines On AML And Terrorist Financing
On January 15, the Basel Committee on Banking Supervision issued risk management guidelines relating to anti-money laundering and terrorist financing.
United States
27 Jan 2014
European Parliament Committee Publishes Opinion On Money Laundering Directive 4
On January 7, the European Parliament published an opinion, written by its Committee on Legal Affairs (or JURI) relating to the Directive that is proposed to amend and replace the Third Money Laundering Directive (2005/60/EC) (or MLD3).
European Union
16 Jan 2014
European Central Bank To Undertake Comprehensive Assessment Of Large Banks In Advance Of The Single Supervisory Mechanism
In a press release dated October 23, the ECB announced that it will undertake a comprehensive assessment of large banks prior to assuming full responsibility for supervision as part of the SSM.
European Union
4 Nov 2013
Joint Release On Borrowers Affected By Government Shutdown
On October 9, the Fed, CFPB, FDIC, NCUA and OCC issued a release encouraging financial institutions to work with borrowers affected by the government shutdown to provide workout arrangements.
United States
16 Oct 2013
Anti-Money Laundering: Italian Competent Authorities Issue Clarification On The Duty Of Restitution Of Money/Securities To Customers For Whom The Due Diligence Cannot Be Carried Out
New paragraph 1-bis of article 23 of Legislative Decree 21 November 2007, no. 231, introduced by article 18 of Legislative Decree 19 September 2012, no. 169, provides that, in the event the addressees of anti-money laundering law are unable to comply with the customer due diligence obligation, they must return money, securities and other financial means to the customer at issue on account(s) indicated by the latter.
United States
10 Sep 2013
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