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Thomas Fox - Compliance Evangelist

Everything Compliance: Episode 145, 8 Years Later: the Second Trump Administration

Welcome to this Special Edition of Everything Compliance. This podcast came into existence as a way to chronicle what Donald Trump would mean for compliance in his first administration. Our first episode was 8 years ago after...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: November 14, 2024 - The Matt Gaetz as AG Edition

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

Manatt, Phelps & Phillips, LLP

Special Client Alert: Election Results and the Future of Fintech, Blockchain and Crypto

Trump’s victory could mean big changes for Fintech and Crypto. With the election of Donald J. Trump as the 47th President of the United States, along with the flip of the Senate to the Republicans and, as of this writing,...more

Stikeman Elliott LLP

CSA Propose Modernization of Investment Fund Continuous Disclosure Regime

Stikeman Elliott LLP on

The Canadian Securities Administrators (“CSA”) have published for comment proposed amendments and changes to modernize the continuous disclosure regime for investment funds (collectively, the “Proposed Amendments”). The...more

A&O Shearman

UK Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2024 published

A&O Shearman on

The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2024 have been published, with an accompanying explanatory memorandum. Regulations 3 to 7 make consequential amendments in connection with the...more

A&O Shearman

UK Financial Conduct Authority Consults on Investment Research Payment Optionality for Fund Managers

A&O Shearman on

The Financial Conduct Authority has opened a consultation on extending the new payment optionality for investment research to pooled funds. This proposal will allow asset managers to use the new payment optionality that was...more

A&O Shearman

Network for Greening the Financial System Long-Term Climate Macro-Financial Scenarios for Climate Risks Assessments

A&O Shearman on

The Network for Greening the Financial System has published the fifth phase of its long-term climate macro-financial scenarios for climate risks assessments. The main development is an updated assessment of physical risk. It...more

A&O Shearman

The UK Economic Crime and Corporate Transparency Act 2023 (Commencement No. 3) Regulations 2024 Published

A&O Shearman on

The Economic Crime and Corporate Transparency Act 2023 (Commencement No. 3) Regulations 2024 have been published. The Regulations bring into force certain provisions of the Economic Crime and Corporate Transparency Act 2023....more

A&O Shearman

Navigating the Retail Investment Strategy Directive

A&O Shearman on

The Retail Investment Strategy Directive (“RISD”) aims to enhance investor protection in order to foster retail investors' participation to the financial market and improve overall market efficiency. By ensuring that...more

A&O Shearman

UK Treasury Committee Call for Evidence on Acceptance of Cash

A&O Shearman on

The Treasury Committee has launched a call for evidence as it examines whether rules are needed to govern the acceptance of physical cash in the U.K. The Committee explains that the Bank of England has noted that the decline...more

A&O Shearman

UK Financial Conduct Authority Policy Statement and Discussion Paper for Improving Transparency for Bond and Derivatives markets

A&O Shearman on

Following its consultation earlier this year, the Financial Conduct Authority has published a policy statement setting out its final position on the new U.K. bond and derivative transparency regime. In response to feedback,...more

Skadden, Arps, Slate, Meagher & Flom LLP

The Standard Formula: A Guide to Solvency II – Chapter 14: The SFCR and Other Public Reporting

The SFCR and Other Public Reporting - Introduction - The Solvency II regime, as legislated in the Solvency II Directive and elaborated upon in Chapter XII of the EU Commission Level 2 Delegated Regulation (2015/35), is...more

A&O Shearman

UK Financial Conduct Authority Seeks Views on Use of AI in UK Financial Services

A&O Shearman on

The Financial Conduct Authority has launched a questionnaire on the current and future uses of AI in U.K. financial services and the financial services regulatory framework. The initiative is part of the FCA's AI Input Zone,...more

Clark Hill PLC

Senator Lummis B.I.T.C.O.I.N. Act Receives Fresh Interest in Election’s Wake

Clark Hill PLC on

This year has proven to be a pivotal one for the Bitcoin industry. Out of the gate, the Securities and Exchange Commission took the dramatic step of approving the first spot Bitcoin ETP following a decade of repeated denials....more

Robinson & Cole LLP

Legal Update: January 1, 2025 Deadline - Corporate Transparency Act Mandatory Filings

Robinson & Cole LLP on

The U.S. Congress enacted the Corporate Transparency Act (CTA) to establish and maintain a national registry of beneficial owners of entities that are considered to be “reporting companies.” Historically, the U.S. has lagged...more

Holland & Knight LLP

Illinois Dental Practices Face New Third-Party Financing Guardrails in 2025

Holland & Knight LLP on

In August, Illinois Gov. J.B. Pritzker signed into law HB 4891 that amends the Illinois Dental Practice Act to include significant guardrails for dental practices looking to offer third-party financing in dental offices in...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

New York State Department of Financial Services Releases Guidance on Combating Cybersecurity Risks Associated With AI

On October 16, 2024, the New York State Department of Financial Services (NYDFS) released guidance highlighting the cybersecurity risks associated with artificial intelligence (AI) and how covered entities regulated by NYDFS...more

Wiley Rein LLP

Wiley Consumer Protection Download (November 12, 2024)

Wiley Rein LLP on

Welcome to Wiley’s update on recent developments and what’s next in consumer protection at the Consumer Financial Protection Bureau (CFPB) and Federal Trade Commission (FTC). In this newsletter, we analyze recent regulatory...more

Troutman Pepper

Troutman Pepper Weekly Consumer Financial Services Newsletter - November 2024 # 2

Troutman Pepper on

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

McGlinchey Stafford

How a Second Trump Presidency Could Impact Brownfield Redevelopment: Policy, Economics, and Environmental Considerations

McGlinchey Stafford on

A second Trump presidency may bring a renewed focus on deregulation and a reduction in federal oversight, which could have profound implications for brownfield redevelopment. Brownfields are previously developed sites, often...more

Wiley Rein LLP

Introducing Wiley’s Trump Administration Resource Center & Guide – Your Essential Tools for 2025

Wiley Rein LLP on

As President-Elect Trump’s second Administration begins in January 2025, businesses face a critical juncture with potential shifts in regulatory focus across industries and sectors including artificial intelligence,...more

Ballard Spahr LLP

FTC files complaint against online cash advance app Dave

Ballard Spahr LLP on

The FTC has filed a complaint against the online cash advance app, Dave, charging that the company used misleading marketing to deceive consumers about the amount of its cash advances and charged consumers undisclosed fees...more

PilieroMazza PLLC

Corporate Transparency Act, Part 3: Filing Extensions for Businesses Affected by 2024 Hurricanes

PilieroMazza PLLC on

The Financial Crimes Enforcement Network (FinCEN) announced a significant relief measure under the Corporate Transparency Act (CTA) for businesses affected by five hurricanes impacting the U.S. in 2024. Hurricane relief...more

Brownstein Hyatt Farber Schreck

Major Changes Ahead at the SEC in the Trump Administration

Under the second Trump administration, the Securities and Exchange Commission (SEC) is likely to see broad changes in regulatory and enforcement initiatives once Chairman Gary Gensler leaves the commission, as is expected....more

Katten Muchin Rosenman LLP

The SEC Adopts Rules Amending the Covered Clearing Agency Standards

The Securities and Exchange Commission (SEC) has recently adopted final rules applicable to SEC-registered Covered Clearing Agencies (CCA), which are intended to help protect investors by enhancing CCAs’ risk management...more

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