News & Insights

24 Results
March 18, 2022

The OCC adopted a final rule amending its regulations that require suspicious activity reports to clarify the agency's limited authority to issue exemptions to national banks and federal savings associations.

December 17, 2021

FinCEN extended the date for certain Report of Foreign Bank and Financial Accounts ("FBAR") filings until April 15, 2023. The extension applies to certain U.S. persons with authority over foreign financial accounts.

May 12, 2021
Commentary by Christian Larson

A broker-dealer operating primarily in the retirement services market settled SEC charges for failing to file suspicious activity reports and to include certain required information in the reports that it filed.