Financial Industry CLE & CPE

A Comprehensive Guide on Anti-Money Laundering: Demystifying Trends, Developments, and Critical Issues

2022-12-27T21:14:54-05:00

Devising and implementing effective anti-money laundering (AML) compliance programs have always been tricky and challenging. With the rising number of AML violations and the stiffer penalties from recent enforcement actions, businesses and organizations are urged to better assess their existing practices and ensure that these are compliant with the current enforcement priorities.

Demystifying the Current Landscape of Broker-Dealer Regulation: Hot Buttons Explored

2023-01-02T21:40:42-05:00

Broker-dealer regulations remain to be evolving and challenging. Scrutiny of anti-money laundering (AML) programs continues to be a top priority, as the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) bring significant AML-related enforcement actions against member firms. Other challenges that confront legal and compliance practitioners include the intensified standard of conduct rules governing investment recommendations to retail clients and the emerging forms of trading platforms.

What’s Ahead for Consumer Financial Protection: Navigating the Evolving Legal and Regulatory Landscape For Financial Services Companies

2023-01-02T21:43:40-05:00

The Consumer Financial Protection Bureau (CFPB) enforcement landscape has been continuously reshaped by significant rule changes and regulatory developments. Among the latest issues, which the financial services industry needs to be aware of, include consumer protection concerns related to COVID-19 and CFPB’s anticipated rules relating to default mortgage servicing. Both are expected to bring more complexity and compliance challenges to financial institutions.

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