Sunday Book Review: February 9, 2025, The Business Fairness at Work Edition
2 Gurus Talk Compliance - Episode 45 - The Snow in Florida Edition
Regulatory Ramblings: Episode 62 - The Green Belt and Road Initiative/Open-Source Intelligence & Non-English Language Online Research with Dr. Oriol Caudevilla and Skip Schiphorst
10 For 10: Top Compliance Stories For the Week Ending February 8, 2025
Compliance Tip of the Day: AI, Process Management and Compliance
Daily Compliance News: February 7, 2025, The Transactional, Not Material, World Edition
UDAAP and Fair Lending Developments: 2024 Year-in-Review and 2025 Predictions — The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: Regulating Bank Reputation Risk
Everything Compliance: The Q1- 2025, Great Women in Compliance Edition
Compliance Tip of the Day: AI and Compliance Training
Life With GDPR: Navigating CCO and CISO Liability Trends
Daily Compliance News: February 6, 2025, The Reassigned to IT Edition
2024 Payments Year in Review: CFPB and FTC Regulatory Trends – Part Two — Payments Pros – The Payments Law Podcast
Ley Mbappé
FCPA Compliance Report: DeepSeek and the Sputnik Moment
Compliance Tip of the Day: Compliance and Agentic AI – Building Trust
Compliance into the Weeds: Why Compliance Officers Should Consider Public Office
Great Women in Compliance: GWIC X Everything Compliance
Daily Compliance News: February 5, 2025, The Eye on Gatekeepers Edition
FCRA Regulatory Year in Review — FCRA Focus Podcast
In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious. These could be books about business, compliance, history, leadership,...more
In the first part of this episode in our Regulatory Ramblings Spotlight section, we’ll speak with legal scholar Dr. Oriol Caudevilla on the green aspects of China’s Belt and Road Initiative, or BRI, as it is more colloquially...more
Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance professional and the compliance stories you need to...more
With just over two weeks to go until the global fund finance community gathers in Miami, the time seems apt to revisit some topics that bankers and attorneys encounter in some commonly seen non-US fund finance jurisdictions....more
The Securities and Exchange Commission (SEC) staff issued updated FAQs regarding Rule 35d-1 under the Investment Company Act of 1940 (the “Names Rule”) on January 8, 2025. These updates reflect amendments that were adopted...more
The volume of news coming out from regulatory Washington, spurred by Executive Orders and new agency heads has been impressive since Trump took office on January 20. But, the amount of movement regarding regulation of crypto...more
In a statement entitled “The Journey Begins,” on February 4, 2025, US Securities and Exchange Commission (“SEC” or the “Commission”) Commissioner Hester Peirce provided new details regarding her thoughts on the agency’s...more
On January 23, 2025, the Puerto Rico Department of the Treasury issued Internal Revenue Circular Letter No. 24-01 (CL IR 24-01) announcing the applicable 2024 limits for Puerto Rico qualified retirement plans. Pursuant to...more
In this episode of Venture Voices, Deangeor Chin and Raquel Smith of Lowenstein’s Africa practice speak with Jemimah Orevaoghene, a Venture Capital Director at Morgan Stanley and Africa portfolio leader, about her unique...more
The U.S. Securities and Exchange Commission (SEC) has launched a ‘Crypto Task Force’ page on its website, outlining the agency’s crypto regulatory agenda under the agency’s new leadership. This initiative follows the exit of...more
The Financial Markets Standards Board has published the final version of its standard for sharing standard settlement instructions. The standard establishes core principles which set out expected practices for the sharing of...more
Senior Division of Enforcement (Division) officials from the U.S. Securities and Exchange Commission (SEC or Commission) spoke with SEC alumni, private practitioners, and other professionals at the Securities Enforcement...more
The Financial Conduct Authority (FCA) and Prudential Regulatory Authority (PRA) recently outlined their proposals on how they will support the UK Government’s growth mission alongside their primary objectives. Amongst others,...more
The Beneficial Ownership Transparency Act, 2023 (the “BOT Act”), Beneficial Ownership Transparency Regulations, 2024 (the “BOT Regulations”) and the Guidance on Complying with Beneficial Ownership Obligations in the Cayman...more
The Global Financial Innovation Network has published a report summarizing discussions led by the U.K. Financial Conduct Authority and the Dubai Financial Services Authority on the use of consumer-facing AI in global...more
The European Supervisory Authorities have published the terms of reference for the EU systemic cyber incident co-ordination framework Forum established under the EU Digital Operational Resilience Act. The Forum will be...more
HM Treasury has published a letter (dated December 18, 2024) from Andrew Bailey, BoE Governor, in his role as Chair of the Prudential Regulation Committee. In the letter, Mr Bailey sets out the response of the PRC to HMT's...more
Barclays Partner Finance has been granted permission to appeal against the Administrative Court's judgment in R (Clydesdale Financial Services Ltd) v Financial Ombudsman Service Ltd [2024] EWHC 3237 (Admin)...more
On February 4, 2025, CFTC Acting Chair Caroline D. Pham announced that the agency was reorganizing the Division of Enforcement’s nine task forces “to combat fraud and help victims while ending the practice of regulation by...more
Trump Administration AI and Crypto Special Advisor David Sacks focused on stablecoin legislation and a potential crypto regulatory framework during a press conference on February 4. Sacks led the conference and was followed...more
On January 28, 2025, FINRA published its 2025 Annual Regulatory Oversight Report (the “Report”) as “an up-to-date, evolving resource or library of information for firms” that highlights specific industry trends, new...more
On Feb. 4, 2025, SEC Commissioner Hester Peirce, in her role as head of the Commission's newly minted Crypto Task Force, provided additional detail regarding the task force's objectives. She began by managing expectations,...more
Section 6751(b), designed to ensure supervisory oversight amid rising penalty assertions in settlement negotiations, has been contentious due its ambiguity, and the final regulations may not resolve the debate....more
On February 4, 2025, Commissioner Hester Peirce offered a first glimpse at the Securities and Exchange Commission’s (“SEC”) roadmap for establishing a regulatory framework for crypto. Tasked with leading the SEC’s...more
On January 16th, 2025, GT Medical Technologies, announced that it has raised $37 million in Series D financing round. The financing round was led by Evidity Health Capital and joined by Accelmed Partners. Current investors...more