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Kyle Daddio

As seen in: Law360, JD Supra
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Articles by Kyle Daddio

What Do Hong Kong-Related Sanctions Mean for U.S. Financial Institutions? A Swiftly Changing Landscape | JD Supra

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By Kyle Daddio, Robert Stephens, Amber Lynn Vitale
| JD Supra
Developments in Hong Kong and the U.S.’s reaction have been swift since June 30, 2020, when China’s National People’s Congress Standing Committee (NPCSC) passed the national security law (NSL) -- promulgated by Carrie Lam, the Chief Executive of Hong Kong Special Administrative Region (HKSAR).
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Microcap Securities - Reasonable Inquiries and AML Considerations - A Q&A Regarding Microcap Security Red Flags and How Your Organization Can Be Prepared | FTI Consulting - JDSupra

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By Michael Buffardi, Kyle Daddio, Stephanie Fauerbach
| JD Supra
Under the most normal of circumstances, trading microcap securities comes with risk. Risk primarily due to the lack of publicly available information, making these securities more susceptible to price manipulation. Under the “new normal”, fraudsters are looking to exploit the over-leveraged and less-market-savvy risk takers promising big wins on COVID-19 tangent products and services. Please see full Publication below for more information.
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Advisers Face AML Pressure From SEC Despite Lack Of Regs

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By Kyle Daddio, Michael Buffardi
| Law360 Verified
Law360 (February 3, 2020, 6:06 PM EST) -- On Jan. 7, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations announced its 2020 examinations priorities.[1] Two of OCIE’s examination priorities — (1) anti-money laundering programs, and (2) increased examination coverage of registered investment advisers — are a shot across the bow for an industry already feeling increased AML compliance pressure before it formally has these regulatory obligations.
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