Deep Space 9: Episode 15 – Trials and Tribble – ations: Homage, Innovation, and Time Travel Intrigue
10 For 10: Top Compliance Stories For The Week Ending October 26, 2024
Compliance Tip of the Day: TD Bank Lessons Learned – The Penalty of Growth Restrictions
12 O’Clock High, a podcast on business leadership – Finding Your Voice – How Caroline Biesalski Transformed Your Life and Profession
Regulatory Ramblings: Episode 56 - The Intersection of Financial Crime and Cryptocurrencies with Chengyi Ong
Daily Compliance News: October 25, 2024 – The 80 Hour Work Week Edition
Business Integrity Innovations: Promoting Transparency: Bridging the Trust Deficit in Business – Odeh Friday
Consumer Finance Monitor Podcast Episode: How the CFPB Is Using Interpretive Rules to Expand Regulatory Requirements for Innovative Consumer Financial Products; Part Two: Earned Wage Access
Navigating Hot Topics in Consumer Finance: Litigation Trends, Regulatory Changes, and Medical Debt Collection – The Consumer Finance Podcast
Daily Compliance News: October 24, 2024 – The Quid Pro Quo Edition
Compliance Tip of the Day: TD Bank Lessons Learned – New and Emerging Risks Demand Action
Great Women in Compliance: Stephanie Weldy on The Art of Behavior Design
Compliance into the Weeds: Unveiling RTX’s Costly Compliance Failures and Corporate Misconduct
Daily Compliance News: October 23, 2024 – The Fired for Multitasking Edition
Cannabis Rescheduling: Timeline, Tax Strategies & 280E
All Things Investigations – Mike Huneke’s Top 5 Takeaways from The 2024 ECCP
Compliance Tip of the Day: TD Bank Lessons Learned: Putting Profits Over Compliance Will Always End Poorly
Innovation in Compliance: Monica Goyal on Tech-Driven Solutions for Law Firms
Daily Compliance News: October 22, 2024 – The Sketchy as Hell Edition
Get ready for an exciting new season of Because That’s What Heroes Do. In this season, they take a deep dive into their favorite 15 episodes of Deep Space 9. In this exploration, Tom and Megan are joined by Star Trek maven,...more
Welcome to 10 For 10, the podcast which brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance brings to you, the compliance professional, the compliance stories you need to...more
The Consumer Financial Protection Bureau (CFPB) on Oct. 23, 2024, issued its final "open banking" rule. Starting for some institutions as early as 2026, financial service providers must, upon a consumer's request, make...more
The SEC Division of Examinations (EXAMS) recently published its list of priorities for 2025, providing a roadmap for broker-dealers and other registrants to better understand where examination teams will focus their efforts...more
This serves as a timely reminder for business owners to ensure compliance with the Corporate Transparency Act (“CTA”) by submitting their Beneficial Ownership Information Reports (“BOIRs”) on the Financial Crimes Enforcement...more
In a previous alert, Crypto-Asset Services and Grandfathering Under MiCA: Clarity From ESMA, we noted that the provisions of the Markets in Crypto Assets Regulation (MiCA) governing crypto-asset service providers (CASPs) is...more
The Consumer Financial Protection Bureau (CFPB) has finalized the much-anticipated Personal Financial Data Rights Rule, 12 CFR 1033, a sweeping regulation that will have profound implications for data providers in the...more
Ally Financial Inc., a digital financial services company, faces two class action lawsuits in the U.S. District Court for the Western District of North Carolina related to an April 2024 data breach. The suits allege that Ally...more
The U.K. Financial Conduct Authority has published its review of consumer credit firms and other non-bank lenders as latest chapter in its ongoing supervisory focus on financial resilience. While the review specifically...more
When I was at law school at American University Washington College of Law, I was the Executive Editor of The American Jurist, which was the student news magazine for my final year of law school. I wasn’t a particularly fond...more
The European Commission, the European Central Bank and the European Securities and Markets Authority have published a joint statement on the next steps to support the preparations towards a transition to T+1. Under the EU...more
HM Treasury has published a joint statement issued with the Swiss State Secretariat for International Finance on the first U.K.-Switzerland financial dialogue. The statement summarizes what was discussed at the meeting and...more
The New York Department of Financial Services (“NYDFS”) recently published guidance on managing cyber risks related to AI for the financial services and insurance industry. Though the circular letter does not introduce any...more
KEY FACTS OF BANKRUPTCY, INSOLVENCY & REHABILITATION PROCEEDINGS UNDER DUTCH LAW - I. Insolvency proceedings in The Netherlands - There are four law-regulated insolvency proceedings in The Netherlands: bankruptcy...more
Welcome to our monthly update on current legal issues for trustees of DB and hybrid pension schemes, designed to help you stay up to date with key developments between trustee meetings and to support the legal update item on...more
On October 22, 2024, the Consumer Financial Protection Bureau (the “CFPB”) finalized its personal financial data rights rule (“The Final 1033 Rule” or the “Final Rule”) that would require data providers to make available to...more
Welcome to our monthly update on current legal issues for trustees of DC pension schemes, designed to help you stay up to date with key developments between trustee meetings and to support the legal update item on your next...more
On October 3, 2024, the Financial Crimes Enforcement Network (FinCEN) issued new guidance concerning the Corporate Transparency Act (CTA) by updating and expanding on the Beneficial Ownership Information (BOI) Reporting...more
Thomas H. Lee Partners (THL) has acquired Red Nucleus, according to a news release. Red Nucleus, founded in 1991 and based in Yardley, Pennsylvania, is a life sciences communication firm....more
On Tuesday, the Consumer Financial Protection Bureau (CFPB) released the final version of the Personal Financial Data Rights Rule that requires many financial institutions, credit card issuers, and other financial service...more
Artificial intelligence (AI) is top of mind for all businesses looking to grow. Economic researchers point to AI as a key factor to boost the economy, and believe that AI could result in billions, if not trillions, of dollars...more
Our Investment Funds and White Collar, Government & Internal Investigations Groups examine a recent Securities and Exchange Commission enforcement order involving control of inside information....more
The Department of Transportation is allowing Alaska Airlines (“Alaska”) and Hawaiian Airlines (“Hawaiian”) to close their merger—as long as the airlines protect their passenger rewards program against devaluation and ensure...more
Compliance officers spend lots of time these days worrying about how their own company’s use of artificial intelligence might draw the ire of regulators, but you have another dimension of AI risk to worry about, too. You need...more