All Things Investigations: Terrorism Designations of Mexican Cartels Fundamentally Enhances Risk for All Companies
Daily Compliance News: March 18, 2025, The Slack Channel Edition
Compliance Tip of the Day: AI for Whistleblower Anonymity
FCPA Compliance Report: Celebrating the 2025 World’s Most Ethical Companies: Highlights with Erica Salmon Byrne
Daily Compliance News: March 17, 2025, The Severance Edition
Episode 360 -- Natalie Druckman from Certa on AI-Enhanced Third-Party Risk Management
10 For 10: Top Compliance Stories For the Week Ending March 15, 2025
Compliance Tip of the Day: Use of Blockchain in Compliance
Daily Compliance News: March 14, 2025, The $200 Transaction Edition
Consumer Finance Monitor Podcast Episode: Prof. Hal Scott Doubles Down on His Argument That CFPB is Unlawfully Funded Because of Combined Losses at Federal Reserve Banks
Navigating 2025: Regulatory Shift to the States and the FTC in the Digital Asset Landscape — The Consumer Finance Podcast
Compliance Tip of the Day: Superforecasting
Everything Compliance: Episode 151, The What is Illegal DEI Edition
Daily Compliance News: March 13, 2025, The Uncle Jeffrey Edition
Navigating 2025: Regulatory Shift to the States and the FTC in the Digital Asset Landscape — The Crypto Exchange Podcast
Compliance Tip of the Day: Taming Complexity
Hill Country Podcast: Upcoming Exhibits and Events at the Museum of Western Art
Compliance into the Weeds: More Compliance Challenges in the Trump Era
Great Women in Compliance: Stop, Collaborate, & Listen with Kristy Grant-Hart
Daily Compliance News: March 12, 2025, The Ruth Marcus Resigns Edition
On February 27, 2025, FinCEN published guidance related to the Corporate Transparency Act (the “CTA”) taking the position that it would not “issue any fines or penalties or take any other enforcement actions against any...more
On 12 March 2025, the SEC staff issued a no-action letter for offerings under Rule 506(c) of Regulation D. In the letter, the Staff concurs that an issuer will have taken “reasonable steps to verify” a purchaser’s accredited...more
On 31 January 2025, the Texas Stock Exchange LLC (TXSE) filed a registration statement with the US Securities and Exchange Commission (SEC) to operate as a fully electronic, national securities exchange....more
On March 7, 2025, the Office of the Comptroller of the Currency (OCC) issued guidance on national bank and federal savings association participation in certain cryptocurrency activities (“IL 1183”). This guidance is the...more
On 3 March 2025, the Division of Corporation Finance of the Securities and Exchange Commission (the SEC) announced that it is expanding the scope of availability for companies to submit draft registration statements for...more
The US Securities and Exchange Commission (SEC) has published no-action guidance providing clarity to issuers relying on Rule 506(c) of Regulation D – an exempt offering pathway that permits issuers to publicly advertise an...more
Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an exemption for certain...more
Innovation comes in many areas, and compliance professionals need to be ready for it and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning...more
Welcome to your monthly rundown of all things administrative law, where we highlight all the happenings you may have missed....more
An overview of the recent SEC action to extend the compliance dates for rules requiring submission for central clearing of certain Treasury repo transactions. An overview of the temporary exemption providing relief to...more
Who may be interested: Registered Investment Companies; Investment Advisers; Boards of Directors; Compliance Officers - Quick Take: The SEC recently announced a six-month extension of the compliance dates for amendments to...more
Conditions for direct or indirect investment in infrastructure have significantly improved for German regulated investors covered by the Investment Ordinance (Anlageverordnung) in regard to the investment of their secured...more
As the Trump Administration attempts to drastically cut CFPB funding and staffing, New York regulators and legislators are attempting to fill what could be a void in consumer protection efforts....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 UK Financial Conduct Authority (FCA) has published a statement informing firms, consumers and stakeholders of next steps in its review of the past use of motor finance discretionary commission arrangements. The Court...more
The UK Financial Conduct Authority (FCA) has published a statement confirming that there is nothing in its rules, including its sustainability rules, that prevents investment in or finance for defence companies. The FCA...more
The UK Payment Systems Regulator (PSR) has published a policy statement outlining its approach to publishing authorised push payment (APP) scams data for 2024. In 2025, the PSR will take a different approach to publishing...more
The International Organization of Securities Commissions (IOSCO) has published a consultation report on the use cases, risks and challenges of AI in capital markets. The report, which is based on feedback from IOSCO's members...more
The Commission Implementing Regulation (EU) 2025/379 has been published in the Official Journal of the European Union. The EU Capital Requirements Directive requires competent authorities to conduct an annual assessment of...more
The Beneficial Ownership Transparency (Legitimate Interest Access) Regulations, 2024 commenced on 28 February 2025. Under these Regulations, the Cayman Islands Registrar (the “Registrar”) may provide access to the information...more
L’année 2025 pourrait se révéler porteuse d’importants changements dans le secteur des paiements au Canada en raison de l’élargissement de l’admissibilité à participer aux systèmes de Paiements Canada, ainsi que du...more
On February 17, 2025, Indonesia’s President issued Government Regulation No. 8 of 2025, which amends the previous Government Regulation No. 36 of 2023 on Export Proceeds from Activities Relating to the Business and Management...more
As Congress moves to enact comprehensive stablecoin legislation under the Trump administration, both the Senate and the House of Representatives have updated their respective payment stablecoin bills. Our recent Commentary...more
Frost Brown Todd’s (FBT) Public Finance Practice Group hosted its annual Public Finance 360° Seminar on Feb. 20, 2025. Webinar topics included a 2025 municipal bond market update, financial disclosure considerations, and tax...more
We have written previously about the new administration’s significant shifts in its approach to criminal enforcement and prosecution of money laundering cases. Specifically, we wrote about shifts at the U.S. Department of...more