We are very pleased to be presenting on the topic of SEC enforcement against broker-dealers and mutual funds relating to alleged underlying Anti-Money Laundering and Bank Secrecy Act violations, and associated private class action lawsuits, at the upcoming meeting of the Securities Regulation Committee of the New York State Bar Association on this Wednesday, December 13, 2017. This is a topic of increasing importance on which we have blogged repeatedly (see here, here, here and here); FinCEN also has proposed similar AML regulations for investment advisors. We also will discuss the hot topic of potential SEC enforcement involving digital currency and Initial Coin Offerings, or ICOs, and the general role of AML in the digital currency industry. The program will begin at 7:00 p.m. and is hosted at the New York City offices of Skadden, Arps, Slate, Meagher & Flom LLP. Thanks again to the Committee for this invitation; we look forward to it.
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