Launching a Product Too Soon? Lessons From Recent CFPB Orders — The Consumer Finance Podcast
Unpacking the Fifth Circuit's Landmark Tornado Cash Decision — The Crypto Exchange Podcast
Everything Compliance: Episode 147, The Welcome to 2025 Edition
31 Days to a More Effective Compliance Program: Day 16 - Effective and Tailored Compliance Training
Daily Compliance News: January 16, 2025 – The SEC Sues Musk (Again) Edition
31 Days to a More Effective Compliance Program: Day 15 – Monitoring and Improving Internal Controls
Great Women in Compliance: Catherine Razzano on Leading with Passion
Compliance into the Weeds: Navigating Return to Office Policies and Corporate Speak Up Culture
Daily Compliance News: January 15, 2025 – The Corruption is Back Edition
Scoping Out Secondaries with Portfolio Advisors' Liz Campbell
Unlocking the Potential of Alternative Markets with HighVista Strategies’ Raphi Schorr
Auto Finance Under the Microscope: Unpacking Landmark FTC and AG Settlements — Moving the Metal: The Auto Finance Podcast
31 Days to a More Effective Compliance Program: Day 14 – Internal Controls
Innovation in Compliance: Todd Haugh on Ethical Decision Making in the Workplace - Beyond Financial Incentives
Daily Compliance News: January 14, 2025 The RTO Compliance Edition
Reflections on the Demise of the SEC’s Private Fund Adviser Rule – LP and GP Perspectives
Adventures in Compliance: The Case-Book of Sherlock Holmes – Business Ethics Lessons in ‘The Adventure of the Blanched Soldier
31 Days to a More Effective Compliance Program: Day 13 – Policies and Procedures
Daily Compliance News: January 13, 2025 The End of Western Civilization Edition
This Legal Update summarizes the US Securities and Exchange Commission’s 2025 calendar year filing deadlines and financial statement staleness dates....more
UDAP has been controversial in the US in the past couple of years. Now that we have a new president and a new Congress, the use of UDAP may change....more
The most recent regulatory cycle addressed many of the BaaS sector’s weak programs and bad actors through enforcement actions the past two years, said James Stevens, a partner at law firm Troutman Pepper Locke, and that puts...more
In our first episode of 2025, we’re excited to speak with Robert Stark, CEO of Nomura Capital Management. During our discussion, we discuss the competitive DCA ranges and challenges of building a private credit platform...more
The Prudential Regulation Authority has published a policy statement on amendments to resolution assessment reporting and disclosure dates. The statement provides feedback to responses the PRA received to its consultation...more
Key Points - - The SEC is set to undergo sweeping changes under the second Trump administration, with a Republican-controlled Commission setting a new agenda. - The agency is expected to focus on easing regulatory...more
Key Points - - New leadership at the financial regulatory agencies is likely to reverse some Biden-era rules and policy statements. - President-elect Trump’s picks are expected to make industry-friendly changes in a...more
In a previous alert, we identified that the definition of a collective investment scheme (CIS) could capture on-chain staking, and that the UK government, acting through the HM Treasury (HMT), was looking to clarify the...more
The Consumer Financial Protection Bureau (CFPB) finalized its “open banking” rule in late 2024. As required by Section 1033 of the Consumer Financial Protection Act, the CFPB promulgated the rule to require certain financial...more
The European Securities and Markets Authority has published its final report on guidelines on stress test scenarios under the Money Market Funds Regulation. The MMF Regulation requires ESMA to annually update the guidelines,...more
SECURE 2.0 was enacted on December 29, 2022. Among its provisions is a requirement that “new” 401(k) plans and private sector 403(b) plans must automatically enroll their eligible employees, but not until the first plan year...more
The U.S. Department of Labor (DOL) issued a revised Voluntary Fiduciary Compliance Program (VFCP), a long-awaited update by many in the industry. The most significant change is the introduction of a self-correction component,...more
On January 14, 2025, New York Attorney General Letitia James announced that the state had entered into a settlement with a national credit reporting provider to resolve allegations that the provider had harmed consumers by...more
Throughout 2024, the U.S. Department of the Treasury’s Office of Foreign Assets Control ("OFAC") published 12 enforcement actions regarding alleged sanctions violations by foreign and domestic persons and entities....more
Ask any centralized cryptocurrency firm to name one of their biggest priorities or challenges—and then count the number of times they mention bank partnerships. For crypto firms, the loss of, or failure to acquire, a bank...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
The members of Maynard Nexsen’s Public Company Advisory Practice counsel public companies and companies aiming to become public on the full range of matters shaping their governance and operation in the public markets. As a...more
The federal estate and gift tax exemption changes from year to year. The current combined federal estate and gift tax exemption amount of $13.99 million per person ($27.98 million per married couple) is scheduled to “sunset”...more
When the damage is finally assessed, the January 2025 wildfires in Southern California will likely be the costliest blaze in U.S. history, and no doubt real estate will comprise a major component of those assessments....more
The Staff of the US Securities and Exchange Commission has issued FAQs regarding recent amendments to Rule 35d-1 (often referred to as the Names Rule) under the Investment Company Act of 1940. The amendments to the Names...more
On December 18, 2024, the Canadian Sustainability Standards Board (CSSB), which has been working since June 2023 to advance the adoption of sustainability standards in Canada, released its inaugural Canadian Sustainability...more
Whether, and the extent to which, a plan fiduciary can consider nonpecuniary environmental, social and governance (“ESG”) objectives in selecting plan investments has been a hot-button issue for many years, with the view on...more
With a new administration in the White House, tax legislation will certainly be on the plate. As we know with the last tax bill, great tax deductions and subsidies could be on the chopping block to pay for tax cuts. ...more
Each year, the Alberta Securities Commission (ASC) publishes its Corporate Finance Disclosure Report, which offers important insights into the ASC’s areas of focus and provides practical guidance to reporting issuers in...more
In this article, we share a timeline of our monthly "bites" for 2024 applicable to the auto finance industry....more