The Chemical Show: Leadership’s Role in Compliance and Safety Culture with Tom Fox
Compliance Tip of the Day: The Importance of Having a Hotline
Everything Compliance: Shout Outs and Rants – Episode 142
SBR-Author's Podcast: Inspiring Integrity with Steve Vincze
Innovation in Compliance: Tina Grubisa on Creating a Culture of Governance with Athennian
Daily Compliance News: October 8, 2024 – The National Security Edition
Corruption, Crime & Compliance: Four Sanctions Cases That Everyone Should Know
Compliance Tip of the Day: DOJ Whistleblower Financial Incentive Program
Adventures in Compliance: Special Episode: Old Time Radio Meets The Silver Screen – Adam Graham on The Movie ‘The Adventures of Sherlock Holmes’
Daily Compliance News: October 7, 2024 – The Oops Edition
Episode 339: Four Sanctions Cases Everyone Should Know
Sunday Book Review: October 6, 2024 The books Top 2024 Sports Books Edition
10 For 10: Top Compliance Stories For The Week Ending October 5, 2024
TechLaw10: Regulatory Change for Social Media
Produce on Purpose Podcast - Protecting Data and Ensuring Compliance with Tom Fox
Compliance Tip of the Day: Leveraging Compensation to Drive Compliance
Creativity and Compliance: Engaging Compliance – From Training to Values
2 Gurus Talk Compliance: Episode 38 – The SCCE Wrap Up Edition
Daily Compliance News: October 4, 2024 – CEOs Turning to Podcasts Edition
Consumer Finance Monitor Podcast Episode: Have State-Chartered, FDIC-Insured Banks Finally Achieved Interstate Usury Parity with National Banks?
The New York City Department of Finance requires that properties receiving benefits under the Industrial Commercial Incentive Program (ICIP) and the Industrial Commercial Abatement Program (ICAP) must file a Certificate of...more
The Chair and Commissioners of the Securities and Exchange Commission testified before the US House of Representatives Committee on Financial Services on September 24, 2024. The SEC’s testimony provided updates on market...more
The Cyber and Analytics Unit within the Member Supervision program of the Financial Industry Regulatory Authority, Inc. (“FINRA”) recently published a cybersecurity advisory regarding increasing cybersecurity risks at...more
The European Securities and Markets Authority has published a consultation on the review of regulatory technical standards on transaction data reporting and on order book data under the revised Markets in Financial...more
The Bank of England has published a joint press release with the Financial Conduct Authority and the Working Group on Sterling Risk-Free Reference Rates (Working Group) on the end of LIBOR. On September 30, 2024, the...more
The Joint Money Laundering Steering Group has published the amended version to Part II Sector 18 (wholesale markets) of its AML/CTF guidance for the financial services sector...more
The Bank of England has announced the establishment of an Artificial Intelligence consortium. Its purpose is to provide a platform for public-private engagement to gather input from stakeholders on the capabilities,...more
Although the European Union and the United Kingdom did not introduce new sanctions against Russia over the summer, they extensively focused on the implementation of the existing measures and their enforcement. This week,...more
The U.K. Payment Systems Regulator updated its Powers and Procedures Guidance to reflect recent developments in its processes and structure. The guidance explains: (i) the PSR's role and its ways of working; (ii) the...more
The Federal Deposit Insurance Corporation (FDIC) announced a proposed rule that would revise brokered deposit regulations promulgated under Section 29 of the Federal Deposit Insurance Act....more
Welcome to your weekly update from the A&O Shearman Pensions team, covering all the latest legal and regulatory developments in the world of workplace pensions. TPR publishes regulatory intervention report: The Meghraj...more
Nach den ersten Schritten mit dem Zukunftsfinanzierungsgesetz („ZuFinG I„) legte das Bundesministerium der Finanzen am 27. August 2024 mit dem Entwurf eines Zweiten Gesetzes zur Finanzierung von zukunftssichernden...more
Many governments are grappling with the question of how to regulate artificial intelligence to ensure it is adopted safely and used responsibly without hampering innovation. Governments have generally indicated similar...more
If you study the rules of the various standard-setters, a pattern emerges about their expectations for the process for developing a best interest recommendation. The DOL and SEC are consistent in that regard, while the NAIC...more
This update covers legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended June 30. Rulemaking and Guidance: • SEC Issues Third Marketing Rule Risk Alert for...more
Financial disclosure - A decade of growing transparency - Welcome to the 2024 Private Funds CFO Fees & Expenses Survey, which has been conducted biennially since 2014. The SEC’s Private Funds Rules have been...more
The SEC has increased its enforcement efforts against firms that are registered as broker-dealers and/or investment advisers for alleged violations of federal securities laws involving “off-channel communications.” Such...more
To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week...more
Promissory notes play a critical role in financial transactions, serving as a written promise from a Borrower to pay a Lender a specified sum of money under agreed-upon terms. Understanding the intricacies of buying and...more
Welcome to the October 2024 issue of REIT Tax News. Below, we take a look at five developments to read about in less than five minutes. 1. Loper Bright standard takes hold in Varian Medical case - In the landmark case of...more
The ups and downs of the M&A and financing markets over the past few years, particularly in the emerging companies (EC) and venture capital (VC) sector, have demonstrated the importance of emerging companies and their...more
TPG has purchased a majority stake in Surescripts, according to a news release....more
On 27 August 2024, the German Federal Ministry of Finance published the draft for the so called Second Future Financing Act (Zweites Zukunftsfinanzierungsgesetz – ZuFinG II). This proposal builds on the First Future Financing...more
The recent decision by the Court of Appeal in FCA v BlueCrest Capital Management [2024] EWCA Civ 1125 reverses the Upper Tribunal’s decision in BlueCrest Capital Management (UK) LLP v FCA [2023] UKUT 00140 (TCC) (which we...more
The Georgia agency approved the Credorax application, but card networks refused to work with that company, said James Stevens, co-leader of the financial services industry group at the law firm Troutman Pepper....more