Coinbase Compliance Findings Consent Order Agreement
This file details the consent order agreement between the New York State Department of Financial Services and Coinbase, Inc. It outlines key findings from regulatory examinations and compliance issues involving Coinbase. The document is essential for understanding the regulatory landscape for cryptocurrency businesses in New York.
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How do I fill this out?
To fill out this document, first ensure you have a thorough understanding of the compliance issues discussed. Next, gather any necessary documentation that supports your submission. Finally, review your information for accuracy before proceeding to submit.
How to fill out the Coinbase Compliance Findings Consent Order Agreement?
1
Review the key compliance findings outlined in the document.
2
Collect necessary supporting information and documentation.
3
Fill in all required fields accurately.
4
Double-check your information for completeness.
5
Submit the completed document as instructed.
Who needs the Coinbase Compliance Findings Consent Order Agreement?
1
Cryptocurrency Exchanges - to comply with New York regulations.
2
Compliance Officers - to understand their responsibilities.
3
Regulatory Bodies - to ensure adherence to legal standards.
4
Investors - to be informed about a company's compliance status.
5
Legal Advisors - to guide clients through compliance issues.
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What are the instructions for submitting this form?
To submit this form, email it to the designated regulatory body at compliance@dfs.ny.gov. Alternatively, you may fax it to (212) 480-4060. For physical submissions, send the document to the New York State Department of Financial Services, One State Street, New York, NY 10004, ensuring it reaches the appropriate department for compliance reviews.
What are the important dates for this form in 2024 and 2025?
Key dates for the compliance issues include 2017 when Coinbase was licensed, and 2020 when the Department began its examinations. Continuing compliance assessments are expected throughout 2024 and beyond as Coinbase works on remediation efforts.
What is the purpose of this form?
The purpose of this form is to ensure that cryptocurrency businesses like Coinbase are compliant with state regulations. It serves as an official record of the compliance issues identified and the steps necessary for remediation. By completing this form, companies demonstrate their commitment to maintaining regulatory standards and protecting consumer interests.
Tell me about this form and its components and fields line-by-line.
- 1. Company Name: The legal name of the business concerned.
- 2. Regulatory Findings: Details about compliance issues found during examinations.
- 3. Remediation Steps: Actions taken to address compliance deficiencies.
- 4. Signatory: Name of the authorized individual signing the document.
- 5. Date: The date the document is signed.
What happens if I fail to submit this form?
Failing to submit this form can lead to regulatory consequences and potential penalties. It is crucial to adhere to submission deadlines and address any compliance issues promptly.
- Regulatory Penalties: Failure to comply with submission requirements can result in fines.
- License Revocation: Serious violations may lead to the loss of operating licenses.
- Increased Scrutiny: Non-submission can trigger further investigations by regulatory bodies.
How do I know when to use this form?
- 1. Post-Examination: Use this form after examinations that identify compliance weaknesses.
- 2. Following Regulatory Feedback: Utilize the form to respond to specific findings from regulators.
- 3. For Remediation Plans: Document the actions taken to improve compliance post-issue.
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What should I do if I find compliance errors?
Refer to the consent order document for insights on correcting compliance issues.
Is there a way to download after editing?
Absolutely! You can download the PDF immediately after making your edits.
What kind of compliance issues are addressed?
The document outlines findings related to BSA/AML and OFAC compliance.
Who should I consult for legal advice?
It is advisable to consult a legal expert familiar with financial regulations.
Can I edit this PDF multiple times?
Yes, you can edit and download as many times as needed.
When is it necessary to use this document?
Use this document when addressing compliance deficiencies identified in regulatory reviews.
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