Welcome Trevor Salter: A Deep Dive Into Financial Services Transactions - Payments Pros Podcast
Compliance Tip of the Day: How a CEO Can Set The ‘Tone at The Top’ – Part 3
Great Women in Compliance: Karen Woody on The Voice of Victims in Negotiated Plea Agreements
Compliance into the Weeds: Everything Old is New Again – The John Deere FCPA Enforcement Action
Daily Compliance News: September 18, 2024 – The Fireworks Coming Edition
Fintech Focus Podcast | Managing a Workforce in a Regulated Environment
Investigation Tag Team: The FTC and the State of Arizona — Moving the Metal: The Auto Finance Podcast
Compliance Tip of the Day: How a CEO Can Set The ‘Tone at The Top’- Part 2
Daily Compliance News: September 17, 2024 - The $100+$106MM Edition
Innovation in Compliance: Greg Shultz on Key Traits for Compliance Professionals: Connecting and Listening
Career Can Do: Mastering Media and Networking for Career Success with Kevin Price
The Ethics Experts: Episode 182 – Olaf Casperson
Corruption, Crime and Compliance: Review of Recent DOJ Declinations
Compliance Tip of the Day: How a CEO Can Set The ‘Tone at The Top’- Part 1
Daily Compliance News: September 16, 2024 – The Retire at 80 Edition
FCPA Compliance Report: Kevin Carroll on The Trump Superseding Indictment
10 For 10: Top Compliance Stories For The Week Ending September 14, 2024
Compliance Tip of the Day: Protecting Against Pre - taliation
Fox on Podcasting: Marilyn Jenkins on The Power of Audio in Legal Thought Leadership
Daily Compliance News: September 13, 2024 – The Politics as Usual Edition
Recently, a Texas-based payday lender (the defendant) filed a motion to dismiss in the U.S. District Court for the Northern District of Dallas, challenging the legality of the CFPB’s funding structure. As previously covered...more
Recently, a bank customer and his business filed a class action complaint in the Stamford-Norwalk Judicial District Superior Court against a Connecticut-based bank alleging that bank engaged in unlawful business practices to...more
The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) adopted a final rule (the Final Rule) on August 28 that will treat certain investment advisers and exempt reporting advisers as financial...more
On August 30, the Superior Court for the State of California dismissed a lawsuit challenging the California Digital Financial Asset Law’s (DFAL) $1,000 daily transaction limit. The plaintiff, an alliance for cryptocurrency...more
On August 12, the New York City Department of Consumer and Worker Protection (DCWP) issued a Notice of Adoption regarding amendments to debt collection rules. According to the DCWP, the amendments, effective December 1, will...more
In an era of active U.S. sanctions policy, it is not uncommon to see the Office of Foreign Assets Control (“OFAC”) issue a notice changing U.S. sanctions – promulgating a new sanctions program or updating the designation of a...more
Virtually all organizations have an obligation to safeguard their personal data against unauthorized access or use. Failure to comply with such obligations can lead to significant financial and reputational harm. In a...more
Delve into the heart of the Texas Hill Country with award winning “Hill Country Artists Podcast,” which illustrates and illuminates the vibrant tapestry of art rooted in this iconic region. From the sun-drenched limestone...more
Earlier this summer, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a Proposed Rule revising its regulations under the Bank Secrecy Act (BSA) requiring financial institutions to...more
To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week...more
On September 12, the Commodity Futures Trading Commission (CFTC or Commission) published a final rule, adopting amendments to CFTC Rule 4.7, which provides exemptive relief from certain compliance obligations to registered...more
On September 17, the Federal Deposit Insurance Corporation (FDIC) proposed a new rule that would significantly impact the risk management and oversight requirements for bank-fintech arrangements. This proposal comes in...more
Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has issued a final rule (the Residential Real Estate Rule) requiring certain persons involved in residential real estate closings and...more
The latest edition of the Consumer Finance State Roundup highlights recently enacted measures of potential interest from four states: Delaware: Effective August 9, Senate Bill 245 amends mortgage foreclosure provisions of...more
The FDIC has issued a proposed rule that would apply to practically all bank-fintech arrangements that use custodial deposit accounts to provide customers with transactional features (also called "FBO" accounts for short)....more
Net Working Capital (“NWC”) targets and purchase price adjustments are a nearly universal reality in private M&A deals, though often a neglected and misunderstood topic. To greatly simplify, the NWC target is the minimum...more
Most entrepreneurs dream of someday selling their company. There are several steps they should be taking well in advance to ensure a profitable exit. Procopio Partner Bill Eigner identified 8 key steps business owners should...more
As we prepare for the next Supreme Court term, we’d like to look back at some of the most significant opinions from the last session and their potential impact on corporate regulation. Of the dozens of opinions issued by the...more
On Sept. 17, the Consumer Financial Protection Bureau (CFPB) published guidance for federal and state consumer protection enforcement officials to use to prevent banks and credit unions from charging overdraft fees in certain...more
The Securities and Exchange Commission adopted amendments to Reg. NMS on September 18, 2024, covering a broad range of market structure and regulatory issues facing the equities market...more
This article is the fourth in our series on equity-based compensation intended to assist employers with answering a common question: What type of equity compensation award is best for our company and our employees?...more
Each year, the United States Department of the Treasury’s Office of Foreign Assets Control (“OFAC”) requires all holders of blocked property to submit an Annual Report of Blocked Property (“ARBP”) setting forth all blocked...more
After receiving her Ph.D. in Nanoscience, Mahsa Vazin joined Impossible Foods as one of the company's early scientists conducting R&D on plant-based alternatives to meat and poultry. Mahsa embraced the company's mission of...more
Welcome to Pawtastic Friends-The Paw Talk. In this podcast, host Tom Fox will visit with Michael and Melissa Novelli, co-founders of Pawtastic Friends, as well as those who work with them at Pawtastic Friends. Michael and...more