Financial Services

chinese and hong kong flags

Your Company Could Be Subject to Chinese Investment Ban — and You May Not Know

The Biden Administration’s pending crackdown on U.S. investment in certain Chinese technologies, part of an increasingly aggressive posture against foreign actors like China and Russia, may be wider in scope than many corporate leaders currently understand. A trio of national security experts from Lowenstein Sandler weigh in on the broader implications for investment firms.

collage of hands texting

From Inquiry to Response: What to Do When Regulators Come Knocking for Text Messages

Financial institutions have been hit with billions of dollars’ worth of fines in the past couple of years for failing to preserve business text messages, and Reuters recently reported that the SEC had expanded its probe into Wall Street's use of tools like WhatsApp and Signal. Whether they’re from the SEC, FINRA or CFTC, federal investigators will dig deep when...

dumb money movie collage

Can We Teach Old Watchdogs New Tricks?

“Dumb Money,” which opens in theaters later this month, tells the story of how retail investors turned GameStop, a struggling shopping mall staple, into the world’s hottest company; SteelEye’s Matt Smith tells the story of how federal watchdogs still haven’t learned how to deal with modern market manipulation.

uk parliament building and big ben

FCA Review Promises to PEP up Global Banking

UK regulators are set to embark on a review of banks’ so-called PEP lists, rosters of people who, because of their political profile, are potential money-laundering risks. The agency’s review caps off a summer of scandal in UK banking as Brexit leader Nigel Farage claimed his bank dropped him over his political views, eventually leading to the ouster of the...

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