Daily Compliance News: September 12, 2024 – The Leaving the Dirty Money List Edition
Compliance into the Weeds: Pre – taliation Illegality – from Employment Contracts to All Contracts
Compliance Tip of the Day: Measuring Compliance Training Effectiveness
The Hill Country Podcast: Educational Innovations at Ingram ISD: A Conversation with Dr. Robert Templeton
Great Women in Compliance: Internal Controls and Compliance: Building a Successful Partnership
Daily Compliance News: September 11, 2024 – The Never Forget Edition
The Magnificent 7 Rides Again: Reflecting on Art, Community, and Camaraderie
Innovation in Compliance: Travis Howerton on Revolutionizing Compliance – Integrating Automation for Digital Transformation
Everything Compliance: Shout Outs and Rants – Episode 140 – The Fall is in The Air Episode
Daily Compliance News: September 10, 2024 – The Palace Coup Edition
Podcasting for Business - The Essential Role of Podcasting in Business Growth
Top Gun: Maverick - Core Estate Plan and Gifting Basics
The Ethics Experts: Episode 181 – Judy Spain
Corruption, Crime & Compliance: DOJ’s New Whistleblower Program
Riskology by Infortal: Episode 32 – Seeing Red: Supply Chain Crisis
Podcasting for Business - Elevating Your Business Podcast
Podcasting for Business - Combining Blueprints and Metrics in Podcasting
Compliance Tip of the Day: Compliance Training Governance Committee
FCPA Compliance Report: Spotlight on Executive at Risk: Latest Updates on The DOJ, OFAC, FCPA, and AML
Daily Compliance News: September 9, 2024 – The Way Forward for ESG Edition
El pasado 28 de agosto de 2024, la Secretaría de Hacienda y Crédito Público (“SHCP”) publicó la “Resolución que reforma, adiciona y deroga diversas de las Disposiciones de carácter general a que se refiere el artículo 115 de...more
The global digital landscape continues to rapidly transform and bring forth innovative financial instruments and technologies, including within the shifting regulatory frameworks that have shaped the digital asset ecosystem...more
On September 9, 2024, three of the SEC’s five Commissioners voted to approve the new PCAOB Quality Control Standard QC 1000 A Firm’s System of Quality Control. The new standard will substantially revise and refine public...more
Lincoln Financial Group announced the addition to its in-plan guaranteed income investment offerings for defined contribution retirement plans....more
On August 29, the CFPB released a consent order and stipulation against a national mortgage originator for alleged deceptive acts under the CFPA. The CFPB found the respondent misrepresented certain payment terms on a...more
A new federal law requires homes associations and neighborhood associations to disclose information about persons with control over the association. Why this matters for you. From Wall Street to Main Street to your...more
Throughout 2024, Nasdaq has been revising the procedures for companies dealing with low stock prices, with a focus on cutting down on what they deem to be cheap, risky stocks trading on their exchange. Here is what you need...more
On 28 August 2024, the Ministry of Finance and Public Credit (“Secretaría de Hacienda y Crédito Público – ‘SHCP’”) published the ‘Resolution that amends, adds and repeals several of the General Provisions referred to in...more
Bain Capital Life Sciences (BCLS) has announced a new fund with approximately $3 billion in total commitments....more
On August 27, the Wisconsin Department of Financial Institutions (DFI) announced it will start accepting applications for a new money transmitter license through NMLS on October 1. The new license will replace the current...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
On September 9, 2024, a mediator from the French Financial Markets Authority (AMF) issued conclusions regarding the dispute over the closure of a client’s securities account. The account was closed because the client had...more
A federal district court in Massachusetts recently denied a motion to dismiss a complaint filed by plan participants in the Cape Cod Healthcare, Inc. 403(b) plan, which alleged that the plan’s fiduciaries breached their ERISA...more
On August 28, 2024, the Financial Crimes Enforcement Network (“FinCEN”) issued its “Anti-Money Laundering Regulations for Residential Real Estate Transfers” (the “Final Rule”), to become effective December 1, 2025. This Final...more
On August 29, 2024, the Financial Crimes Enforcement Network (“FinCEN”) issued a final rule under the Bank Secrecy Act (“BSA”) requiring certain persons involved in real estate closings and settlements to report and maintain...more
The SEC recently announced the settlement of multiple enforcement actions for violations of its whistleblower protection rule, which prohibits “any action to impede an individual from communicating directly with the...more
Effective January 1, 2024, the U.S. Department of Treasury’s Financial Crimes Enforcement Network (“FinCEN”) required certain newly formed and pre-existing entities to submit information regarding their beneficial owners and...more
September 10, 2024 - Federal Reserve Board Vice Chair for Supervision Michael S Barr delivered a speech at the Brookings Institution on re-proposal of regulations to implement the Basel III Endgame....more
The U.S. Securities and Exchange Commission (SEC) has announced two settled charges involving alleged violations of Rule 206(4)-2 under the Investment Advisers Act of 1940 (Advisers Act), known as the “Custody Rule.” These...more
Who may be interested: Registered Investment Advisers, Registered Investment Companies, Compliance Staff - Quick Take: The SEC recently announced a number of enforcement actions relating to recordkeeping failures,...more
Real estate investors may be familiar with the acronym DST, which in the context of Internal Revenue Code Section 1031 like-kind exchanges, refers to a Delaware Statutory Trust. A 1031 DST is a vehicle by which a seller of...more
On June 28, in Loper Bright v. Raimondo, et al., the Supreme Court overturned the Chevron deference doctrine, a long-standing tenet of administrative law established in 1984 in Chevron U.S.A., Inc. v. Natural Resources...more
Earlier this year, the Department of Labor (DOL) updated the prohibited transaction exemption for Qualified Professional Asset Managers, often referred to as the “QPAM exemption.” Included in the update is a new requirement...more
Owning an NFL team is no longer a fantasy. The National Football League (the “NFL” or the “League”) voted to allow minority stakes to be sold to private equity firms (“PE”). However, according to NFL.com, “an executive from...more
The Compliance Podcast Network (CPN) and the Center for International Private Enterprise (CIPE) bring you Business Integrity Innovations. This podcast is inspired by Ethics 1st, a multi-stakeholder initiative led by CIPE that...more