FCPA Compliance Report – Adrian Roux on South Africa’s New Compliance Legislation and Its Global Impact
Podcast - The CFPB Takes Action on a Toronto-Based Bank’s Consumer Credit Reports
Consumer Finance Monitor Podcast Episode: Post-Election Insights: Impacts on the Banking and Consumer Financial Services Industry
5 Key Takeaways | State Sales Tax in 2024: What Every Retailer Needs to Know
Lemon Law Shakeup: Rodriguez vs. FCA US Has Unexpected Result – Moving The Metal Podcast
Riskology By Infortal™: Episode 37 – Boots on Deck: Managing Maritime Risk with Joshua Hutchinson from AMBREY
FCPA Compliance Report – Episode 737 – Navigating Compliance in a Trump Presidency: Insights and Concerns
Sunday Book Review: November 24, 2024 – The Thanksgiving Mysteries Edition
Fox on Podcasting – Unleashing Creativity and Profit Through Podcast Seasons
10 For 10: Top Compliance Stories For the Week Ending November 23, 2024
JONES DAY TALKS®: Five Pillars of Series A Shareholder Rights: A Discussion for VC Investors
Compliance Tip of the Day – Policy Week: Extortion Payments
Daily Compliance News: November 22, 2024 – The All NYT Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public Offerings?
Fintech Focus Podcast | Reconciling AI With Fair Lending and Consumer Protection
Navigating New York City's New Debt Collection Rules — The Consumer Finance Podcast
Business Integrity Innovations: Championing Integrity – Trade, Integrity, and Investment in Africa: Insights from Toki Mabogunje
Consumer Finance Monitor Podcast Episode: An Empirical Study of Boilerplate in Consumer Contracts
Daily Compliance News: November 21, 2024 – The Adani Group Edition
The FCA has today published a further consultation paper (CP24/2 (Part 2)) in relation to its ‘naming and shaming’ proposals (the “Updated Consultation”). The publication follows widespread industry criticism of the FCA’s...more
The survey finds that most firms are using AI, but many only have a partial understanding of how the technology operates. On 21 November 2024, the Bank of England (BoE) and FCA published a report setting out their...more
With the introduction of the 14th sanctions package, entities established in the European Union are required to ‘undertake their best efforts to ensure’ that non-EU subsidiaries they own or control do not undermine EU...more
In February 2024, the FCA sent a survey to 1,028 wholesale firms (insurers, market intermediaries, banks and brokers) asking about recorded incidents of non-financial misconduct between 2021 and 2023. With a 96% response...more
The Corporate Transparency Act (“CTA”), which affects many small and medium-sized businesses across the United States, went into effect on January 1, 2024. For entities subject to the CTA, reports including information about...more
The UAE announced a new ‘National Strategy for Anti-Money Laundering, Countering the Financing of Terrorism and Proliferation Financing for 2024 – 2027’ (the National Strategy) in September 2024. This will affect not only UAE...more
The Basel Committee on Banking Supervision has set out the outcomes from its meeting on November 19-20, 2024. Key takeaways include: - implementation of Basel III—committee members unanimously reaffirmed their expectation...more
On November 13, the Federal Reserve Board issued two cease and desist orders against a state-chartered bank and a bank holding company for alleged compliance deficiencies. The Federal Reserve Board first order was against...more
The International Organization of Securities Commissions has launched a new roadmap for retail investor online safety. The strategic initiative aims to safeguard retail investors worldwide from fraud, excessive risk, and...more
The Hong Kong Securities and Futures Commission (SFC) has issued a circular that sets forth comprehensive guidelines and expectations for licensed corporations (LCs) regarding the responsible use of generative artificial...more
On 26 November 2024, the PRA and the FCA published a joint Consultation Paper on changes to the remuneration rules (PRA CP16/24, FCA CP24/24). The changes are relevant to banks, building societies, and PRA-designated...more
Even back then in college, I knew when things weren’t right. I was the Managing Editor of the Stony Brook Statesman and the top editor made copies of our Newsday Awards and was mailing someone a response to a letter,...more
Welcome to your weekly update from the A&O Shearman pensions team, covering all the latest legal and regulatory developments in the world of workplace pensions. DB Funding code: Fast Track submission tests and conditions...more
On 17 October, the European Commission (EC) issued its Fourth Annual Report under Article 5(4) of the Foreign Direct Investments (FDI) Screening Regulation (the Regulation) along with an EC Staff Working Document (SWD). The...more
We are pleased to announce the availability of our calendar showing SEC filing deadlines and financial statement staleness dates for 2025. Public companies are encouraged to keep in mind these important deadlines and...more
1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - FSB: 2024 list of global systemically important banks - Status: Final - The FSB has published a 2024 list of global systemically...more
1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) Germany - BReg: Government draft on the Second Future Financing Act (Regierungsentwurf zum zweiten Zukunftsfinanzierungsgesetz) Status: Draft - The...more
Last week, the UK Financial Conduct Authority (FCA) unveiled a 'Part 2' consultation paper detailing a revised version of its controversial proposals to publicly name firms under enforcement investigation. This development...more
Jurisdictions representing approximately 57% of global GDP have taken steps to incorporate ISSB standards into legal and regulatory frameworks. ...more
HM Treasury has published the Prudential Regulation of Credit Institutions (Meaning of CRR Rules and Recognised Exchange) (Amendment) Regulations 2024, together with an explanatory memorandum....more
For investors, excitement in the renewable energy landscape is palpable. Renewable energy capacity is being added to the world's energy systems at the fastest rate in two decades, prompting the International Energy Agency to...more
On 22 November 2024, the European Commission (the “Commission”) issued new frequently asked questions (FAQs) regarding the interpretation of the “Best Efforts” obligation in Article 8a of Council Regulation (EU) No. 833/2014...more
As the new year approaches, so does an important deadline: although January 1, 2025, is the date by which non-exempt companies formed prior to 2024 must file a Beneficial Ownership Information (BOI) Report with the Financial...more
On November 4, 2024, the Federal Trade Commission sued Seek Capital, LLC, and Roy Ferman, Seek's founder and CEO, for allegedly violating several federal laws, including Section 5 of the Federal Trade Commission Act ("FTC...more
The below summary deals with the most relevant Luxembourg corporate and individual tax measures proposed in 2024, which cover, among others, the decrease of the corporate income tax rate, the introduction of a subscription...more