www.cadwalader.com/resources/clients-friends-memos/choose-one-best-interest-or-full-service www.findknowdo.com/news/04/18/2018/sec-proposes-retail-best-interest-standard-broker-dealers-fiduciary-interpretation goo.gl/16F7Vp www.shearman.com/perspectives/2018/04/sec-proposes-broker-dealer-standard-of-care-and-guidance www.sec.gov/news/speech/speech-clayton-2018-05-02 www.sec.gov/news/press-release/2018-68 0
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May 15, 2018 webmaster
Banking, Regulatory, US
goo.gl/XfqKTU www.mme.ch/en/magazine/magazine-detail/url_magazine/crypto_currencies_tokens_smart_contracts_and_sanctions/ goo.gl/iVA6jF See also: goo.gl/wpWsXA goo.gl/aFj8Mo goo.gl/WkFQ9H Cryptocurrency: the risks of not applying the AML and KYC requirements 0
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May 11, 2018 webmaster
Crypto Currencies, Money Laundring, Regulatory, Risk Management, US
www.findknowdo.com/news/05/02/2018/finra-proposes-rule-amendments-enhance-oversight-high-risk-brokers www.bressler.com/finra-continues-to-crackdown-on-the-supervision-of-highrisk-brokers Click to access Regulatory-Notice-18-15_1.pdf See also: goo.gl/wjP9vZ goo.gl/R7nUHF www.finra.org/sites/default/files/Regulatory-Notice-18-16.pdf 0
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May 10, 2018 webmaster
Regulatory, US
www.bakerlaw.com/alerts/the-sec-continues-its-regulatory-focus-on-advisory-fees-and-expenses www.sec.gov/enforce/educationhelpguidesfaqs/share-class-selection-disclosure-initiative-faqs See also: www.findknowdo.com/news/03/07/2022/capital-fund-adviser-settles-sec-charges-misleading-statements-fees?utm www.findknowdo.com/news/10/21/2022/broker-dealer-fined-charging-excess-fees 0
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May 9, 2018 webmaster
Regulatory, US
goo.gl/ZYbVc4 www.cliffordchance.com/briefings/2018/05/back_to_the_futuresecondarysanction.html See also: goo.gl/4B4JWV goo.gl/WcYJnE Update: www.fincen.gov/news/news-releases/fincen-issues-advisory-iranian-regimes-illicit-and-malign-activities-and www.fincen.gov/resources/advisories/fincen-advisory-fin-2018-a006 www.hlengage.com/fincen-warns-of-iran-using-virtual-currencies-to-bypass-sanctions www.ropesgray.com/en/newsroom/alerts/2018/12/A-Review-Of-US-Economic-Sanctions-In-2018 www.findknowdo.com/news/06/17/2021/ofac-issues-general-licenses-respond-covid-19-syria-venezuela-and-iran?utm 0
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May 9, 2018 webmaster
Iran, Regulatory, Risk Management, Sanctions, US
www.findknowdo.com/news/04/27/2018/fincen-updates-aml/cft-deficiencies-list buckleysandler.com/blog/2018-05-02/fincen-updates-fatf-identified-jurisdictions-amlcft-deficiencies www.bressler.com/long-awaited-frequently-asked-questions-regarding-customer-due-diligence-requirements-for-financial-institutions www.sidley.com/en/insights/newsupdates/2018/04/fincen-issues-new-faqs-on-customer-due-diligence-requirement Click to access 2018-04-10_fincen_issue_frequently_asked_questions_regarding_customer_due_diligence_rule.pdf Click to access FinCEN_Guidance_CDD_FAQ_FINAL_508_2.pdf Update: FinCEN updates jurisdictions with AML/CFT/CPF deficiencies | Buckley LLP Infobytes Blog (buckleyfirm.com) www.findknowdo.com/news/02/29/2024/fincen-updates-jurisdictions-fatf-aml/cft-deficiencies-list 0
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May 8, 2018 webmaster
Money Laundring, Regulatory, US
www.dechert.com/knowledge/onpoint/2018/5/ofac-issues-important-updates-and-clarifications-to-russia-sanct.html www.winston.com/en/where-we-are/north-america/dallas.html#!/en/thought-leadership/russia-sanctions-update-1.html?aj=ov&parent=3170&idx=18 www.treasury.gov/resource-center/sanctions/OFAC-Enforcement/Pages/20180501.aspx See also: goo.gl/xHY6MN www.srz.com/resources/sanctions-update-venezuela-and-ukraine-russia.html www.findknowdo.com/news/09/16/2022/ofac-targets-additional-entities-crucial-russias-war-effort Update: www.findknowdo.com/news/01/06/2021/ofac-issues-new-and-amended-guidance-caatsa?utm OFAC Enters into Settlement Agreement with S&P Global, Inc. www.findknowdo.com/news/04/08/2022/ofac-adds-russian-state-owned-entities-sdn-list?utm 0
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May 7, 2018 webmaster
Risk Management, Russia, Sanctions, US
goo.gl/u89Dgk www.greensfelder.com/trusts-and-estates-blog/irs-lists-afrs-for-may-2018 0
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May 4, 2018 webmaster
Tax, Tax Planning, US
www.burnslev.com/news/domicile-its-more-than-where-you-live www.nelsonmullins.com/idea_exchange/blogs/the-estate-planning-and-probate-litigation-blog/estate-planning/domicile-planning-which-state-is-your-permanent-home-located No small potatoes: taxpayer domiciled in Idaho despite not residing in the state Domicile, residency and personal income tax: what should you consider? www.daypitney.com/insights/publications/2021/12/15-wheres-your-domicile-still-a-vexing-question See also: www.hklaw.com/privatewealthblog/a-taxpayers-best-friend-when-changing-domicile-07-09-2018/ goo.gl/nKwP3K goo.gl/z92s2Y Actions speak louder than words when determining New York domicile Already home: New York ALJ determines taxpayer...
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April 30, 2018 webmaster
Residency, Tax, Tax Planning, US
Click to access REIT-Investing.pdf See also: goo.gl/hRgGeC www.mintz.com/legal-insights/alerts/articletype/articleview/articleid/4404/irs-expands-remedial-action-for-nonqualified-use-of-tax-advantaged-bonds www.daypitney.com/insights/publications/2018/04/16-irs-provides-new-remedial-actions-for-certain www.nixonpeabody.com/en/ideas/articles/2018/04/17/irs-expands-remedial-actions-for-p3-projects-and-to-address-tax-advantaged-bonds www.jdsupra.com/legalnews/new-and-valuable-ways-to-reduce-capital-33290/ www.hahnlaw.com/insights/are-real-estate-taxes-going-to-wreck-your-investment/www.taftlaw.com/news-events/law-bulletins/real-estate-investment-trusts-to-reit-or-not-to-reit 0
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April 29, 2018 webmaster
Real Estate, Tax, Tax Planning, Trusts, US
