Paraguay: New Compliance Rules for the Securities Market
en.ferrere.com/latest-posts/news/paraguay-new-compliance-rules-for-the-securities-market 0
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US: SEC on most frequent Compliance issues of Advertising by Investment Advisers
bit.ly/2xbmT9X goo.gl/zJYrjN www.jdsupra.com/legalnews/sec-wants-the-truth-and-nothing-but-the-60834/ www.omm.com/resources/alerts-and-publications/alerts/client-alert-sec-publishes-alert-describing-most/ www.proskauer.com/publications/client-alert/sec-issues-risk-alert-on-the-most-frequent-advertising-rule-compliance-issues-and-use-of-accolades-in-advertisements/ Click to access risk-alert-advertising.pdf 0
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UK: FCA enforcement interviews – Tips and best practice
www.corkerbinning.com/fca-enforcement-interviews-tips-and-best-practice/#page=1 See also: www.corkerbinning.com/what-to-expect-when-you-are-the-subject-of-an-fca-investigation/ 0
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US: Change of Partner Liability and Rights before the IRS for Partnerships and LLCs
bit.ly/2yIPGmt bit.ly/2yvoF58 www.kflaw.com/the_new_partnership_centralized_audit_rules_are_coming_soon 0
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UK: Action against Companies who have failed to update their PSC Register
www.jordanscorporatelaw.com/our-thinking/blog/-/blogs/action-against-companies-who-have-failed-to-update-their-psc-register The Register of Persons with Significant Control (taylorwessing.com) 0
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UK: FCA Enforcement – the calm before the storm?
www.kingsleynapley.co.uk/insights/blogs/criminal-law-blog/fca-enforcement-the-calm-before-the-storm#page=1 See also: Who’s afraid of the FCA? 0
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US: FinCEN Advisory on FATF-Identified Jurisdictions with AML/CFT deficiencies
buckleysandler.com/blog/2017-09-21/fincen-issues-advisory-regarding-fatf-identified-jurisdictions-amlcft-deficiencies Click to access FinCEN%20FATF%20Advisory-FIN-2017-A005_0.pdf Update:FinCEN updates jurisdictions with AML/CFT/CPF deficiencies | Buckley LLP Infobytes Blog (buckleyfirm.com) 0
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EU: New Minimum Competency Code
www.matheson.com/news-and-insights/article/minimum-competency-code-2017 0
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Trends: The responsibility to respect human rights in the banking sector
bit.ly/2wADp1g humanrights.freshfields.com/post/102efqj/how-will-human-rights-issues-impact-the-financial-sector-in-the-future Click to access InterpretationGuidingPrinciples.pdf See also: www.mcguirewoods.com/Client-Resources/Alerts/2017/9/Profiting-from-Human-Rights-Abuses.aspx 0
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US: SEC settles against Investment Adviser not disclosing receipt of Revenue Sharing payments
www.natlawreview.com/article/sec-settles-charges-against-investment-adviser-failing-to-disclose-receipt-revenue Click to access 34-81169-s.pdf 0
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