FINRA Lawyer Blog




AML Regulators Target Capital One's Check Cashing Businesses

AML Regulators Target Capital One's Check Cashing Businesses

Check cashing businesses are a major focus of anti-money laundering rules and regulations. Investors recently learned that federal and New York prosecutors are currently investigating Capital One Financial Corp.’s anti-money laundering program and “certain check casher clients”...

Mexico in Crosshairs Of Precedent Setting 2016 FCPA Enforcement Actions

Mexico in Crosshairs Of Precedent Setting 2016 FCPA Enforcement Actions

It may come as no surprise that doing business in China holds a high risk of Foreign Corrupt Practices Act (FCPA) violations. However, the record-setting numbers of FCPA enforcement actions seen in 2016 placed Mexico in a close second.
With increases in multi-jurisdictional anti-corruption...





Avoiding Emerging Cybersecurity Whistleblower Pitfalls

Avoiding Emerging Cybersecurity Whistleblower Pitfalls

Securities law violations are a major focus of regulatory compliance programs across the industry. Yet not all organizations realize the threat cybersecurity breaches pose to company viability. A new breed of corporate whistleblower is cropping up among marketplace professionals – the...

SEC Announces Record Enforcement Actions for FY2016

SEC Announces Record Enforcement Actions for FY2016

On October 11, 2016, the U.S. Securities and Exchange Commission (SEC) released its fiscal year 2016 (FY2016) enforcement results, reporting collections totaling over $4 billion in disgorgement and penalties out of a record 868 enforcement actions against executives, companies and...