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Thomas Fox - Compliance Evangelist

Sunday Book Review: February 9, 2025, The Business Fairness at Work Edition

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

Thomas Fox - Compliance Evangelist

Regulatory Ramblings: Episode 62 - The Green Belt and Road Initiative/Open-Source Intelligence & Non-English Language Online...

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

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending February 8, 2025

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

Cadwalader, Wickersham & Taft LLP

Fund Finance Around the World February 2025 - Around the (Fund Finance) World in Eight Topics!

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

Mayer Brown Free Writings + Perspectives

The Rules of the Name: SEC Staff Updates Guidance on Fund Naming Rules

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

Cadwalader, Wickersham & Taft LLP

It’s Been Two Weeks and We Have a 2025 Crypto Compendium

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

Mayer Brown Free Writings + Perspectives

The SEC’s Crypto Task Force: Mapping the Road Ahead

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

Littler

Puerto Rico Department of the Treasury Announces 2025 Limits on Qualified Retirement Plans

Littler on

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

Lowenstein Sandler LLP

Jemimah Orevaoghene: A Lesson on Investing with your Sixth Sense

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

Sheppard Mullin Richter & Hampton LLP

SEC Launches Crypto Task Force Website to Bring Clarity to Crypto Regulation

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

A&O Shearman

Financial Markets Standards Board publishes standard for sharing standard settlement instructions

A&O Shearman on

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

Perkins Coie

Securities Enforcement Forum New York 2025: A New Era Looms

Perkins Coie on

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

A&O Shearman

Assertive supervision and the UK Government’s growth agenda – why it’s too soon for financial institutions to relax

A&O Shearman on

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

Conyers

Portfolio Insurance Companies and the Updated Beneficial Ownership Regime

Conyers on

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

A&O Shearman

Global Financial Innovation Network report on use of consumer-facing AI in global financial services

A&O Shearman on

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

A&O Shearman

European Supervisory Authorities approve terms of reference for new EU systemic cyber incidence co-ordination framework forum...

A&O Shearman on

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

A&O Shearman

UK Prudential Regulation Authority response to HM Treasury November 2024 letter on remit and recommendations

A&O Shearman on

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

A&O Shearman

Permission to appeal granted against Financial Ombudsman Service decision concerning motor finance discretionary commission...

A&O Shearman on

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

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC To Reorganize Task Forces and End ‘Regulation by Enforcement’

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

Fenwick & West LLP

President’s Crypto Advisor Commits to Progressing New Reg. Framework as Congressional Working Group is Announced

Fenwick & West LLP on

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

Goodwin

FINRA Publishes 2025 Annual Regulatory Oversight Report

Goodwin on

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

Holland & Knight LLP

SEC's New Crypto 2.0 Task Force Gets to Work

Holland & Knight LLP on

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

Latham & Watkins LLP

Treasury Finalizes Controversial Regulations on IRS Penalty Oversight, but Debate Continues

Latham & Watkins LLP on

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

WilmerHale

Opportunities Await: Engaging with the SEC’s Crypto Task Force

WilmerHale on

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

Knobbe Martens

Heading Towards an Optimistic Initial Public Offerings (IPOs) Resurgence in 2025?

Knobbe Martens on

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

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