31 Days to a More Effective Compliance Program: Day 22 - Levels of Due Diligence
Great Women in Compliance - The Future of the Profession
Compliance into the Weeds: The CSBS and State-Level Enforcement Actions in AML
Daily Compliance News: January 22, 2025, The All Bloomberg Edition
Podcast — UK FinReg Focus Areas in 2025: Sectoral Trends
Podcast — UK FinReg Focus Areas in 2025: Retail Markets
Podcast — UK FinReg Focus Areas in 2025: Wholesale Markets
SBR – Author’s Podcast – Exploring the Future of Work, Ethics, and Compliance with Kelly Monahan, Part 1
Sunday Book Review: January 19, 2025, The Business Ethics from the Ancient Greeks Edition
Sunday Book Review: January 12, 2025 – The Top Business Books Coming in 2025 Edition
Great Women in Compliance: Compliance, Consistency and Agility with Lisa Beth Lentini Walker
31 Days to a More Effective Compliance Program: Day 21-Managing 3rd Parties
SBR – Author’s Podcast: Exploring the Future of Work, Ethics, and Compliance with Kelly Monahan, Part 2
Innovation in Compliance: Navigating Accounting and Compliance with Mike Whitmire
Daily Compliance News: January 21, 2025, The Not Real Work Edition
31 Days to a More Effective Compliance Program: Day 20 – Third-Party Risk Management Process
Episode 352 -- Review of 2024 DOJ and SEC Sanctions Enforcement and Compliance
31 Days for a More Effective Compliance Program: Day 19 – Evaluating the Risk Management Process
31 Days to a More Effective Compliance Program: Day 18 – Risk Assessments
10 For 10: Top Compliance Stories For the Week Ending – January 18, 2025
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to you compliance related stories to start your day. Sit back, enjoy a cup of morning coffee and listen in to the Daily Compliance News....more
Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days series in January 2025, I will post a key part a best practices compliance program each...more
Certain members of the Canadian Securities Administrators (“CSA”) have extended the temporary exemption from the requirement to transmit a Form 45-106F1 Report of Exempt Distribution (“Report of Exempt Distribution”) and...more
A Câmara do Mercado iniciou uma consulta pública para receber contribuições sobre a proposta de atualização de seu Regulamento de Arbitragem. A iniciativa tem como objetivo promover a modernização e a simplificação de...more
Key Takeaways: Federal bank regulators plan for vigorous review of safety and soundness and consumer compliance functions....more
On January 14, 2025, Treasury and the IRS published final regulations (the “Regulations”) that identify certain micro-captive insurance transactions, as well as transactions substantially similar thereto, as either listed...more
When a debtor files for bankruptcy, creditors often fear their claims will be wiped away. However, under Section 523 of the Bankruptcy Code, certain debts are categorized as non-dischargeable, meaning the debtor cannot...more
The Prudential Regulation Authority ("PRA") has set out its 2025 expectations for UK insurers, by way of a Dear CEO Letter. The areas are not exhaustive but do represent "thematic priorities". The themes will not come as a...more
Recent developments in fund finance documentation reflect a significant shift in how insurance companies are treated under assignment provisions. Traditionally, “competitor” definitions have served to restrict loan...more
In Syngenta Holding Limited v HMRC [2024] UKFTT 998 (TC) (“Syngenta”), the UK’s First-tier Tribunal (“FTT”) denied a deduction for interest on an intra-group loan on the basis that the loan had an unallowable purpose for the...more
On December 27, 2024, the Treasury and the IRS released final regulations (the “Final Regulations”) on reporting requirements for decentralized finance (“DeFi”) participants, accompanied by a press release, and Notice 2025-3,...more
On this episode of the R&G Dugout podcast, Ropes & Gray asset management partners Amanda Persaud, Lindsey Goldstein, and Jon Rash explore the upsurge of private funds raising capital for investment in sports teams and...more
On January 7, 2025, the Consumer Financial Protection Bureau (“CFPB”) published a final Rule (the “Rule”) that prohibits consumer reporting agencies from including individuals’ medical debt on consumer credit reports....more
On January 10, 2025, the Maryland Office of Financial Regulation (OFR) issued formal guidance asserting that assignees of residential mortgage loans—including certain “passive trusts” that acquire or obtain assignments of...more
In 2025, an estimated $600 billion in commercial real estate loans are scheduled to mature. While the interest rate environment has stabilized somewhat over the past year, rates have not fallen as far as borrowers had hoped,...more
With calendar year 2024 completed, US public companies with a December 31 fiscal year-end will be working to prepare their annual reports on Form 10-K for filing with the US Securities and Exchange Commission (SEC). Companies...more
On January 14, 2025, the US Department of Labor (“DOL”) released a final regulation revising its Voluntary Fiduciary Correction (“VFC”) Program and related prohibited transaction exemption (“PTE”) 2002-51 to add a...more
A side letter in the venture capital sector is an agreement between an investor and the company it is investing in that entitles the investor to certain contractual rights, which supplement and are in addition to other rights...more
In this article, we share a timeline of our monthly "bites" for 2024 applicable to consumers protected by nondiscrimination and military protection laws. 2025 will likely bring more of the same, particularly in the area of...more
On December 31, 2024, the United States Court of Appeals for the Fifth Circuit and the New York Appellate Division, First Department, both issued decisions evaluating the validity of so-called “uptier” transactions under New...more
On January 2, 2025, the Securities and Exchange Commission (the SEC) published an order approving a proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (FINRA) to adopt the new FINRA Rule 6500...more
A Republican Congress and the incoming Trump administration may employ the CRA to quickly overturn recent rules that faced heavy criticism from the financial services industry....more
In a recent decision, the Supreme Court in Queens County denied lender’s motion for summary judgment and appointment of a referee to compute in a foreclosure action, finding triable issues of fact, underscoring the importance...more
The future is bright for our region, with economic development paving the way for thriving communities and innovative growth. Join us at the February Bridge Series for an energizing discussion with the people leading the...more
On January 13, 2025, one week before Chair Gary Gensler is expected to step down as Chair, the Securities and Exchange Commission (“SEC”) announced settlements with twelve additional regulated entities for alleged...more