Tag Archives: Administrative Procedures Act

FINRA Settlement Highlights Importance of Anti-Money Laundering Due Diligence and Monitoring

A recent enforcement action offers a glimpse of the Financial Industry Regulatory Authority’s (“FINRA”) expectations for firms conducting anti-money laundering (“AML”) due diligence and transaction monitoring.  On July 27, 2020, FINRA settled with broker-dealer JKR & Company (“JKR”) over allegations that the firm failed to detect, investigate, and report suspicious activity in four customer accounts … Continue Reading

Another Prologue to Cybersecurity Regulations: Controlled Unclassified Information (“CUI”) – What Contractors Need to Know and Why They Should Care

Government contractors should take note of a proposed new rule that could impose significant new data storage obligations when finalized.  The Federal Government is taking another baby-step towards cybersecurity regulation with a proposed rule intended to standardize protocols relating to designating and safeguarding unclassified information that is to be withheld from public disclosure (also known … Continue Reading
LexBlog

By scrolling this page, clicking a link or continuing to browse our website, you consent to our use of cookies as described in our Cookie and Advertising Policy. If you do not wish to accept cookies from our website, or would like to stop cookies being stored on your device in the future, you can find out more and adjust your preferences here.

Agree