US: Proposed Rules confirm FINRA push for Firms to protect investors from bad actors
bit.ly/2siryTz See also: bit.ly/2tGNfPy 0
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Hong Kong: Broker suspended for transferring Proprietary Information and Client Data to New Employer
www.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/enforcement-news/doc?refNo=17PR86 0
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US: The Risk to U.S. Practitioners of Prosecution for Facilitating Foreign Tax Offenses
www.daypitney.com/insights/publications/2017/06/01-long-arm-of-the-law-the-risk-to-us Click to access email_handler.aspx 0
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Italy: Amendments to Anti-Money Laundering decree
cms.law/en/ITA/Publication/Amendments-to-law-decree-no.-231-2007-on-anti-money-laundering www.dlapiper.com/en/us/insights/publications/2017/06/anti-money-laundering-directive-in-italy/ See also: Italy: Regulatory Financial Newsletter – Anti-money laundering (globalcompliancenews.com) www.bancaditalia.it/compiti/supervisione-normativa-antiriciclaggio/index.html? 0
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UK: SFO announces Charges against a Global Bank and Four Former Executives
buckleysandler.com/blog/2017-06-23/sfo-announces-charges-against-global-bank-and-four-former-executives-qatar-capital-raising-matter www.fieldfisher.com/publications/2017/06/sfo-announces-charges-in-barclays-qatar-capital-raising-case#sthash.qnVTHUqi.dpbs bit.ly/2rSaRxW 0
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US: Rogue Brokers – the whole story
www.bdlawcorner.com/2017/06/rogue-brokers-the-numbers-do-not-tell-the-whole-story/ See also: bit.ly/2siryTz 0
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Dominican Republic: New Anti-Money Laundering and Terrorist Financing Act
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US: Barclays to pay $97 million for overcharging Clients
bit.ly/2sulj2l www.natlawreview.com/article/sec-settles-charges-against-barclays-capital-overcharging-advisory-clients www.sec.gov/news/press-release/2017-98 0
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US: DOJ Signals More Fairness In Multinational Investigations
www.law360.com/articles/935354 See also; www.law360.com/articles/935354<br />See also;<br /><br /></p> 0
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US: New bill would revamp AML laws with ‘wish list’ of transparency, enforcement measures
www.acfcs.org/news/350347/ 0
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