Shout Outs and Rants – Episode 141
All Things Investigations: Anchored in Fraud: Mike DeBernardis and Shayda Vance on Austal USA’s Scandal
Daily Compliance News: September 24, 2024 – The Revised ECCP Released Edition
The Ethics Experts: Episode 183 – Julie Winkle Giulioni
Corruption Crime and Compliance: Nicolas Garcia, GC at Orica, on Compliance Trends and Challenges in Latin America
FCPA Compliance Report: Jon May Critiques The DOJ Whistleblower Financial Incentive Program
Compliance Tip of the Day: Everything Old is New Again: The John Deere FCPA Enforcement Action
Daily Compliance News: September 23, 2024 – The That Old Time Religion Edition
Sunday Book Review: September 21, 2024, Books on Venice Edition
Megatrax Trailblazers Podcast: Episode 41 - Tom Fox (Voice of Compliance Podcast Network)
JONES DAY TALKS®: A Trip to the Dark Side – Venture Capital Down Rounds and Recaps
Creativity and Compliance: Transforming Toxic Cultures
Compliance Tip of the Day: How A CEO Can Set The Tone at The Top with Town Halls
Fox on Podcasting: Enhancing Your Podcast with Megatrax: Ileana Landon’s Expert Insights
2 Gurus Talk Compliance: Episode 37 – The Florida Couple Edition
Daily Compliance News: September 20, 2024 – The 2nd Trial Edition
Consumer Finance Monitor Podcast Episode: The Demise of the Chevron Doctrine – Part II
Compliance Tip of the Day: How A CEO Can Set The Tone at The Top with Email
Pawtastic Friends: The Paw Talk – Hercules, Angelina and Prince
According to the introductory paragraph of the guidelines issued by the Financial Crimes Enforcement Network (“FinCEN”) of the United States Treasury, “[i]llicit actors frequently use corporate structures such as shell and...more
Post Brexit, the U.K. Government and Financial Conduct Authority are committed to the ongoing reform programme to reinvigorate the U.K.'s capital markets. As part of this, the Government and FCA are committed to replacing...more
The Payment Systems Authority has published a consultation paper on a draft statement of policy on its cost benefit analysis (CBA) framework. The draft statement builds on and replaces the draft CBA framework published...more
The Commodity Futures Trading Commission (CFTC) on Sept. 20, 2024, finalized guidance (the Final Guidance) regarding the listing of voluntary carbon credit (VCC) derivatives on CFTC‑regulated exchanges. The CFTC previously...more
Dually registered, or “dual hat,” investment advisers are already well aware of the extensive obligations imposed by the Bank Secrecy Act (“BSA”). But for others, the finalization of a Financial Crimes Enforcement Network...more
Aggregate global M&A deal value is up significantly in 2024 (even though deal volume is down), driven in large part by the announcement of megadeals in the U.S., and reflecting an appetite for dealmaking in the medium term....more
On September 13, 2024, Judge K. Michael Moore of the United States District Court for the Southern District of Florida dismissed a complaint alleging that an equity fund (the “Company”), its affiliate companies, and several...more
The Israel Securities Authority recently published a draft of a new directive for payment companies and holders of basic initiation licenses or approvals regarding reporting to the Authority. According to the Draft, payment...more
Though there are some similarities between financing an aircraft registered in the U.S. versus financing an aircraft registered abroad, in truth those similarities are vastly outweighed by the differences and complexities...more
I have watched enough medical shows over the years, from the awesome St. Elsewhere to the never-ending Grey’s Anatomy, to have heard umpteen times that the Hippocratic Oath includes the admonition that doctors “do no harm.” ...more
The Payment Systems Regulator (PSR) has issued its final guidance to support payment service providers (PSPs) in assessing whether an APP scam claim raised by a consumer is not reimbursable under the new Faster Payments...more
The U.S. Department of Education (ED) has announced a revised deadline for submitting required data under the Financial Value Transparency and Gainful Employment (FVT/GE) rules. The new deadline for institutions to report and...more
I write a ton of articles as you may know and I will have advisors contacting me and suggesting some topic titles. I have adapted some of these suggestions, but there is one article idea that I had to turn down a few years...more
On September 17, the FDIC released an NPRM aimed at strengthening record-keeping requirements for banks’ holding deposits from third-party non-bank companies (i.e., fintechs). The proposed rule seeks to mitigate risks among...more
On September 14, the Governor of California approved AB 3148 (the “Act”), amending the California Deferred Deposit Transaction Law (CDDTL) to change the formula for determining annual fee licenses as required to pay to the...more
Last week, at the SEC’s Investor Advisory Committee meeting, the Committee discussed two topics described as “pain points” for investors: tracing in §11 litigation and shareholder proposals. In the discussion of §11 and...more
On September 13, the U.S. District Court for the Southern District of Texas ordered to grant the motion to dismiss of one defendant and granting in part and denying in part a second defendant’s motion to dismiss claims of...more
Cooperation agreements are a new tool for distressed debtholders seeking to negotiate from a position of unity and strength. These agreements can also help debtholders defend themselves against a growing opportunistic...more
Northlane Capital Partners (NCP) has announced the sale of PAR Excellence Systems to OceanSound Partners....more
On September 13, the CFPB filed a complaint in the U.S. District Court for the Western District of Pennsylvania against a credit card company and its CEO. The CFPB alleged the company engaged in deceptive and abusive...more
The Corporate Transparency Act (the "CTA") became effective on January 1, 2024, requiring many corporations, limited liability companies, limited partnerships, and other entities to register with and report certain...more
The Federal Deposit Insurance Corporation (“FDIC”) proposed in its Notice of Proposed Rulemaking (“NPR”) that insured IDIs keep records of individual accounts that are typically held in pooled custodial accounts that support...more
With inflation still affecting the US economy, lenders are now focused on the economic impact of the upcoming presidential election. Lenders’ expectations for the US economy’s performance in the longer term – beyond the next...more
Recent money laundering-related enforcement actions targeting casinos by both the U.S. Department of Justice (“DOJ”) and state regulators suggest increasing scrutiny of anti-money laundering (“AML”) compliance efforts within...more
To prevent landlords under long-term real property leases from reaping a windfall for future rent claims at the expense of other creditors, the Bankruptcy Code caps the amount of a landlord's claim against a debtor-tenant for...more