This compliance requirement includes any regulations promulgated under that Act.
A key requirement is for the firm to implement a customer identification program as part of their overall compliance program.
The DOJ shifts aim to end prosecutions over user actions and focuses enforcement on clear cases of fraud and abuse.
Vlada Gurvich3 min read
DOJ attorneys in court documents said they were using their “sole discretion” under a plea agreement with Glencore to "terminate the monitorship early."
Julie DiMauro4 min read
Federal financial markets regulation is being relaxed. Will the states take up the slack?
Alexander Barzacanos3 min read
Cyber threats are on the rise, but the SEC has signaled that it will backtrack on enforcing cybersecurity disclosures.
Alexander Barzacanos2 min read
Here's a summary of the most significant recent developments in US financial regulation.
Vlada Gurvich6 min read
We kick off coverage of the recent SIFMA C&L conference with a report on SEC Acting Chair Mark Uyeda's opening remarks.
Alexander Barzacanos5 min read
The CFTC said the moves were justified (in part) due to the agency's additional staff with experience in virtual currency derivative product listings.
Julie DiMauro1 min read
The new advisory highlights how fraudsters use GenAI to produce fraudulent identification materials that can be highly convincing.
Vlada Gurvich2 min read