Regulators appear to be focusing in on casinos and cardrooms. Half of the Financial Crimes Enforcement Network’s 2016 enforcement actions were brought against companies in the gaming industry. And U.S. Department of Justice efforts in 2016 added greater specifics on the potential benefits of corporate self-disclosure. And want to know how broker-dealers can rely on investment advisers to verify the identity of shared customers? Read on.
Upping the Ante for Casinos and Cardrooms
Half of FinCEN’s 2016 enforcement actions were brought against companies in the gaming industry.
Carrots and Sticks: 2016 DOJ Enforcement in View
The U.S. Department of Justice used a pilot program to spur self-disclosure of potential FCPA violations.
SEC Letter Extends Safe Harbor for Broker-Dealers
An update on how brokerage firms can rely on investment advisers to verify shared customer identity.