Kerry Zinn is a principal at Bressler, Amery & Ross in Fort Lauderdale, Florida. Her practice focuses on regulatory enforcement matters and compliance counseling relating to anti-money laundering, anti-bribery and corruption and sanctions. Prior to joining Bressler, she was the lead attorney advising global bank UBS’ financial crime prevention program in the Americas. Before that, she was regulatory counsel for UBS’ retail broker-dealer. She has also served as one of the lead trial attorneys in the Miami office of the Securities and Exchange Commission. She can be reached at [email protected]
Bressler, Amery & Ross attorneys Kerry Zinn and Jacqueline Aleman discuss the SEC’s recent actions in light of the 2018 Share Class Disclosure (SCD) Initiative, which encourages self-reporting for 12b-1 conflict disclosures. with co-author Jacqueline Aleman In February 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission (SEC) launched a self-reporting initiative for investment advisers who recommended, purchased or...
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Criminal Actions Brought Against Rabobank and US Bank Kerry Zinn identifies stipulations to evaluating anti-money laundering programs and the importance of cooperating with regulators. In early 2018, the Department of Justice (“DOJ”) brought two criminal actions relating to Anti-Money Laundering (“AML”) program deficiencies. This article examines the criminal actions brought against Rabobank National Association (“Rabobank”) and US Bank National Association and US...
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