Impacted financial institutions, including cryptocurrency exchangers, may want to review know-your-customer policies and anti-money laundering compliance in light of President Trump’s executive order.
Regulatory Policy
Posted inRegulatory Policy
Uber, Lyft among companies trying to stymie California employment bill
As legislation that would classify many freelance workers as employees instead of contractors nears passage in California, a few companies that would be most impacted are trying to preserve the gig economy.
Posted inRegulatory Policy
States sue SEC over Reg BI
Seven states and the District of Columbia have filed a lawsuit against the SEC in an effort to block the regulator’s recently approved Regulation Best Interest rule package.
Posted inAnti-Bribery
SEC’s Clayton calls out dearth of global assistance in battling corruption
Is the SEC tired of being a global cop? In a speech Monday, SEC Chair Jay Clayton rallied against a “continuing lack of global commitment” to combatting offshore corruption.
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2019 CCO Playbook
Understanding the regulatory environment, both past and current, can help shape your compliance strategies. ComplySci’s CCO Playbook will ensure you keep up with regulatory changes and provide you with a game plan to meet many of the top challenges CCOs face today.
Posted inRegulatory Policy
Risk alert: CCOs should examine policies around advisers’ adherence to disclosure rules
The SEC’s Office of Compliance Inspections and Examinations suggests a policy and procedure review for investment advisers for certain “principal trades” involving clients.
Posted inRegulatory Policy
OFAC amends Cuban Assets Control Regulations
The Treasury Department’s Office of Foreign Assets Control announced amendments to the Cuban Assets Control Regulations to further implement President Trump’s June 2017 National Security Presidential Memorandum.
Posted inSanctions
How industries are responding to the escalating U.S.-China trade war
While the escalating tit-for-tat trade war and increasing tariff rate hikes between the U.S. and China cannot be controlled, proactive companies are learning to swing with the punches—from diversifying their supply chains to shifting their production lines elsewhere.
Posted inData Privacy
Compliance lessons from the Google/Uber trade secrets mess
A federal grand jury’s indictment of Anthony Scott Levandowski for allegedly stealing trade secrets from Google may be a wake-up call to protect intellectual property more aggressively.
Posted inRegulatory Policy
Court: Hyperlinked e-mails don’t count as ‘communication’ for debt collectors
A federal appeals court sided with a consumer in deciding hyperlinked e-mails violate debt notice requirements.
