All Posts By

Kylee Beach

Authenticate Your Client List with OFAC Views

By | Compliance

OFAC (Office of Foreign Assets Control) regularly posts updates to its list of Specially Designated Nationals (SDN) and Blocked Persons that identifies individuals and companies owned or controlled by, or acting for or on behalf of, specific countries as well as individuals, groups and entities, such as terrorists and narcotics traffickers.

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Enhanced Data Reporting – A Regulatory Focus for 2015

By | Compliance

Just as a new year seems to give new life to people and businesses everywhere, it also brings new initiatives and focus to organizations like the Securities and Exchange Commission (SEC). In a recent speech to the New York Times DealBook Opportunities for Tomorrow Conference, Chair Mary Jo White spoke about what the SEC will be focusing on in the year ahead for the asset management industry.

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