Financial Regulations posts

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Corporate Transparency Act

The Corporate Transparency Act: Enhancing Financial Security and Combating Illicit Activities

Financial Regulations, Corporate Governance

July 12, 2024

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Understanding FinCEN BOI Filing Requirements: Who Needs to File?

Financial Regulations

May 31, 2024

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  • Securities reporting issuer
  • Governmental authority
  • Bank
  • Credit union
  • Depository institution holding company
  • Money services business
  • Broker or dealer in securities
  • Securities exchange or clearing agency
  • Other Exchange Act registered entity
  • Investment company or investment adviser
  • Venture capital fund adviser
  • Insurance company
  • State-licensed insurance producer
  • Commodity Exchange Act registered entity
  • Accounting firm
  • Public utility
  • Financial market utility
  • Pooled investment vehicle
  • Tax-exempt entity
  • Entity assisting a tax-exempt entity
  • Large operating company
  • Subsidiary of certain exempt entities
  • Inactive entity