Weekly Regulatory Deadlines (July 18 to July 24)

Fiduciary Activities

VA | BSA/AML | Final Rule

United States regulators, however, get detailed information only about the derivatives traded by Goldman Sachs International. Thanks to a loophole in laws enacted in response to the financial crisis, trades by Goldman Sachs International Bank don’t have to be reported...

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An increase deposit costs, higher reserves and ongoing restructuring issues weighed on the second-quarter results at the New York company...
Kenneth Rijock's Financial Crime Blog 07/24/2018
A large number of compliance officers at international banks, where they regularly onboard affluent foreign clients, continue to regard the use of facial recognition software as optional or ignore its usefulness altogether...
According to media reports, the Senate was scheduled to begin debate yesterday afternoon on H.R. 6167, the “Interior, Environment, Financial Services, and General Government Appropriations Act, 2019.”  The bill, which was passed by the House last week by a vote of 217–199 with no Democrats voting for the bill, would make several dramatic changes to...

SEC Complaint - Bhushan Dandawate
SEC | Securities | Enforcement | 07/19/2018

Deustsche Bank Trust Company Americas
SEC | Securities | Enforcement | 07/20/2018

SEC Complaint - Centor Energy Inc. and Frederick DaSilva
SEC | Securities | Enforcement | 07/19/2018

Edward A. Young and Guardians Trustee, LLC
SEC | Securities | Enforcement | 07/19/2018

Sebastian Jimenez
FINRA | Securities | Enforcement | 07/19/2018