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Tagged with "Financial Crimes Enforcement Network"

CFTC Focuses on Whistleblowers as Enforcement Increases

Posted on September 26th, 2019 at 4:56 PM
CFTC Focuses on Whistleblowers as Enforcement Increases

The U.S. Commodity Futures Trading Commission ("CFTC") is actively calling for whistleblowers who may know about misconduct as it extends enforcement to areas usually controlled by the U.S. Department of Justice (“DOJ”) and the Financial Crimes Enforcement Network.   

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Are AML Rules for Advisors Necessary

Posted on September 17th, 2015 at 9:11 AM
Are AML Rules for Advisors Necessary

The Financial Crimes Enforcement Network released new proposed rules, which required investment advisors to enforce anti-money laundering programs, many are unsure if the rules are necessary and if they are worth raising compliance costs.

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