Search Results for: fincast – Page 11

In “Targeting Foreign Fraud: SEC Forms Cross-Border Task Force” (Financier Worldwide, February 2026), Himamauli Das offers perspective on the SEC’s sharpened focus on foreign-based issuers and intermediaries entering U.S. capital markets. Him notes that the creation of the SEC’s Cross-Border Task Force to Combat Fraud signals a significant evolution in the agency’s approach to cross‑border...

This month’s coordinated U.S. multi-agency enforcement action against online broker Interactive Brokers (IBKR) signals authorities’ ongoing concerns about anti-money laundering/combating the financing of terrorism (AML/CFT) risk in the securities and commodities sectors and underlines the need for capital markets participants to design and implement comprehensive AML/CFT programs. The U.S. Securities Exchange Commission (SEC), Financial Industry...

In “Member Case Study: K2 Intelligence FIN—The Libyan Investment Authority (LIA) and Gaddafi’s Frozen Legacy” (2 July 2020, Invest Africa), Sabrine Hassen, associate managing director, discusses former casework in Libya and the Libyan Investment Authority following the fall of the Gaddafi regime, and how K2 Intelligence FIN helps businesses in the region confronted with risks....

On 13 February 2024, the Financial Crimes Enforcement Network (FinCEN) issued a groundbreaking Notice of Proposed Rulemaking (NPRM) to combat illicit finance and national security threats in the investment adviser sector. The proposed rule would subject certain investment advisers to anti-money laundering and countering the financing of terrorism (AML/CFT) requirements pursuant to the Bank Secrecy...

To view a recording of this webinar on demand please complete the required fields and click “Submit.” On 13 February 2024, the Financial Crimes Enforcement Network (FinCEN) issued a groundbreaking Notice of Proposed Rulemaking (NPRM) to combat illicit finance and national security threats in the investment adviser sector. The proposed rule would subject certain investment...

This webinar will provide an overview of the new financial sanctions guidance for entities and individuals in the maritime sector, issued by the United Kingdom’s Office of Financial Sanctions Implementation at her Majesty’s Treasury on 27 July. This guidance follows the 14 May release of the U.S. government’s comprehensive Global Sanctions Maritime advisory, which outlined...

K2 Integrity’s Juan Zarate and Himamauli Das participated in a Foundation for Defense of Democracies (FDD) webinar, “FinCEN Modernization and the Future of Financial Crime Enforcement,” discussing the landscape of modern financial crime and the future of the Financial Crimes Enforcement Network (FinCEN). Hosted by FDD’s Center on Economic and Financial Power (CEFP), the webinar...

On 13 February 2024, the Financial Crimes Enforcement Network (FinCEN) issued a groundbreaking Notice of Proposed Rulemaking (NPRM) to combat illicit finance and national security threats in the investment adviser sector. The proposed rule would subject certain investment advisers to anti-money laundering and countering the financing of terrorism (AML/CFT) requirements pursuant to the Bank Secrecy...

Join K2 Integrity for a practical discussion on the intersection of internal audit, cybersecurity, and regulatory oversight in the broker-dealer space using real-word case studies. By the end of this session, you will be able to: List the emerging risks shaping broker-dealer internal audit priorities, including cyber-enabled fraud, market-integrity expectations, and growing third-party dependencies. Describe...

On 18 December, the Financial Crimes Enforcement Network (FinCEN) at the U.S. Department of the Treasury announced highly anticipated and controversial new proposed requirements designed to mitigate illicit finance risks associated with “unhosted” virtual currency wallets and wallets hosted in certain foreign jurisdictions with weak anti-money laundering regimes. Unlike customers who rely on the custody...