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Over the last decade or so, anti-money laundering (AML), counter-terrorism financing (CFT), and sanctions compliance have been the subject of increased enforcement efforts by the Department of Justice (DOJ), Department of Treasury, and federal financial regulators. We expect this trend to accelerate in 2021 and beyond, propelled at least in part by the recent enactment of the Anti-Money Laundering Act of 2020 (2020 AMLA). Passed with overwhelming bi-partisan support as part of this year’s National Defense Authorization Act, the 2020 AMLA may well have the most significant impact on the AML/CFT landscape since enactment of the USA PATRIOT Act. Among other things, the 2020 AMLA creates several new tools that law enforcement can employ to investigate and prosecute illicit finance, described further below.
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By Jacqueline C. Wolff
Given the massive amount of dollars being poured into ESG funds and the SEC’s renewed focus on both the funds and the companies in the funds, there is no time like the present for companies to engage in an assessment of their climate risks and how these risks and the status of the companies’ ESG goals are being relayed to investors.
By Michael Miller and Daniel Podair
How the government might frame insider trading cases based on allegations of tipping before the execution of block trades in securities.
By Jonathan S. Sack and Christopher M. Hurley
To date, cybersecurity has generally been viewed as an organizational responsibility, and data breaches similarly have been treated as organizational weaknesses or failures. Against this backdrop of organizational responsibility, the Department of Justice has brought a noteworthy criminal case against an individual for his personal response to a corporate data breach.
By Harry Sandick and George Carotenuto
In recent years, mostly due to the well-publicized prosecution of Trump campaign manager Paul Manafort, FARA has become more of a focus for federal prosecutors. As a result, white-collar attorneys have been consulted more often about whether particular conduct requires registration under the Act.