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
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
Everything Compliance: Episode 147, The Welcome to 2025 Edition
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
10 For 10: Top Compliance Stories For the Week Ending January 11, 2025
31 Days to a More Effective Compliance Program: Day 12 – The Importance and Construction of a Corporate Code of Conduct
31 Days to a More Effective Compliance Program: Day 11 – Moving Compliance Down into an Organization
Regulatory Ramblings: Episode 61 – Extraterritorial Enforcement of US Laws in Asia Under Trump in 2025 / Hong Kong’s New Stablecoin Bill with Ben Hammond and Ross Feingold
Creativity and Compliance – 10 Creative Tips for 2025
31 Days to a More Effective Compliance Program: Day 10 - Leadership’s Role in Shaping Corporate Culture and Compliance
2 Gurus Talk Compliance: Episode 43 - The Tribute to Jimmy Carter Edition
Daily Compliance News: January 10, 2025 The Enron is Back Edition
Commodities will always be a key pillar of Indonesia’s economy, but as capital pours in to expand its technology infrastructure, the country is providing investors with increasingly diverse opportunities - Indonesia has...more
The Financial Services and Markets Act 2000 (Collective Investment Schemes) (Amendment) Order 2025 has been published, alongside an explanatory memorandum. The Order includes a new paragraph 22 to the Schedule to the...more
Key Points - - A Republican president and Congress are expected to be more supportive of digital assets than the current administration. - There is a reasonable chance that legislation creating a regulatory framework...more
El Congreso promulgó la Ley 2439 de 2024 "[P]or medio de la cual se modifica la Ley 1480 de 2011 y se crean medidas de protección en favor del consumidor de comercio electrónico". Entre los cambios más relevantes introducidos...more
On January 10, the Consumer Financial Protection Bureau (Bureau) issued a notice of proposed interpretive rule (Proposed Rule). The deadline for comments is March 31, 2025. The Proposed Rule would apply the Electronic Fund...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
SageView Advisory Group has announced its acquisition of OnTrack 401(k), based in Frederick, Maryland....more
As we say goodbye to 2024, can we also say farewell to the difficulties faced for the real estate development market? What does the future hold in getting “Britain building again”?...more
Just in time for the commencement of proxy season we have this reminder from SEC Enforcement about disclosures of related-person transactions. Failure to properly report on a related-person transaction has been a subject of...more
What Happened? Last week the CFPB issued an Order recognizing the Financial Data Exchange, Inc. (“FDX”) as the first standard setting body (“SSO”) under the CFPB’s Personal Financial Data Rights Rule (the “Rule”). The Rule...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from December 2024. In December 2024: President-elect Trump nominated former SEC Commissioner Paul...more
On January 2, the OCC released its CRA performance evaluations that became public during the month of December. The OCC evaluated 16 entities, including national banks, federal savings associations, and insured federal...more
One of the option of SECURE 2.0 is allowing employers to offer partricipants the right to Roth Employer contributions where they can pay the taxes upfront, and get tax free treatment on employer contributions....more
In his recent remarks at the Women in Housing and Finance Public Policy Luncheon, Acting Comptroller of the Currency Michael J. Hsu addressed the growing challenge of financial fraud and its impact on society. He emphasized...more
On January 13, the Consumer Financial Protection Bureau (CFPB or Bureau) released a report providing its analysis of the growth and impact of Buy Now, Pay Later (BNPL) loans in the United States since 2019. BNPL loans,...more
On January 10, 2025, the Department of the Treasury (“Treasury”) and the Internal Revenue Service (“IRS”) issued proposed regulations regarding the provisions of the SECURE 2.0 Act of 2022 (“SECURE 2.0”) that relate to...more
The OCC released the “OCC Semiannual Risk Perspective for Fall 2024,” which analyzes key risks facing the federal banking system as of mid-2024. Overall, “[t]he OCC reported that the strength of the federal banking system...more
Recently, the FDIC Office of Inspector General released a report entitled, “FDIC Readiness to Resolve Large Regional Banks,” which evaluated the FDIC’s preparedness to resolve large regional bank failures under the Federal...more
The Consumer Financial Protection Bureau (CFPB) has proposed an interpretive rule on how the Electronic Fund Transfer Act (EFTA) and its implementing regulation, Regulation E, would apply to new and emerging digital payments....more
December was an eventful month for the Corporate Transparency Act (CTA). The latest court ruling in the CTA conflict occurred on December 26, 2024, in Texas Top Cop Shop, Inc., et al. v. Garland, et al., when the Fifth...more
The EU Platform on Sustainable Finance has published a draft report on activities and technical screening criteria to be updated or included in the EU taxonomy, with a related call for feedback. The draft report, prepared by...more
The Financial Markets Standards Board has published its updated final statement of good practice for front office supervision of wholesale traded markets. The statement of good practice sets out 15 good practice statements,...more
The European Banking Authority has published a consultation paper on its draft Regulatory Technical Standards on the calculation and aggregation of crypto-exposure values under the Capital Requirements Regulation 3...more
On December 27, 2024, the U.S. Department of Justice (DOJ) announced its final rule on the transfer of certain bulk sensitive personal data to China, Russia, and other countries. Following this, on January 3, 2025, the U.S....more
On January 8, 2025, the Consumer Financial Protection Bureau (CFPB) issued a decision and order approving the application of Financial Data Exchange, Inc. (FDX) for recognition as a standard-setting body (SSB) under the...more