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Richard Marshall on Muck Rack

Richard Marshall

Newcastle upon Tyne
As seen in: LinkedIn, Cell Press, Blackpool Gazette, Lexology, Korn Ferry, FTAdviser, Insider Media, Mondaq, Urban Land Magazine, PMLiVE and
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Articles

SEC Extends Relief Allowing Brokers To Rely On Advisers For AML Compliance

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By Richard Marshall
| Mondaq
Richard D. Marshall’s articles from Katten Muchin Rosenman LLP are most popular: within Finance and Banking topic(s) in United States Earlier this year, the US Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) adopted rules imposing anti-money laundering obligations on advisers and proposed additional rules that would mandate further anti-money laundering obligations on advisers.
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Pay Attention To Your Orphans

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By Christian Kemnitz, Susan Light, Richard Marshall, Wayne Aaron
| Mondaq
What should a broker-dealer do when a customer's contact information no longer works? The law imposes responsibilities on broker-dealers in such situations. We expect the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and State securities regulators to have heightened interest and increased scrutiny over "orphaned" accounts, which are those where the designated representative relationship has ended or the client has become unresponsive.
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SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny Of Proxy Advisers

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By Richard Marshall
| Mondaq
Recent developments indicate a dual focus on regulatory reform for public companies, with the SEC Chairman Paul Atkins prioritizing public offering reforms and President Donald Trump signaling renewed scrutiny of proxy advisers.
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