Everything Compliance: Episode 145, 8 Years Later: the Second Trump Administration
Daily Compliance News: November 14, 2024 - The Matt Gaetz as AG Edition
Compliance into the Weeds: Understanding the Telefonica Venezuela FCPA Enforcement Action
Compliance Tip of the Day: Board Questions and Metrics for 3rd Party Risk Management
Great Women in Compliance: Karen Bertha - Reflections and Resilience Through a Compliance Career
Daily Compliance News: November 13, 2024 – The China Problem Edition
All Things Investigations – Anna Hamati on Key Lessons from the TD Bank AML Enforcement Action
CFPB's Supervisory Highlights on Auto-Finance and Auto-Servicing — Moving the Metal: The Auto Finance Podcast
Compliance Tip of the Day: CCOs Reporting to the Board
Navigating the Dark Side of Crypto: Crime, Compliance, and Consumer Protection – The Crypto Exchange Podcast
Everything Compliance, Shout Outs and Rants – Episode 145, 8 Years Later
Innovation in Compliance – Exploring Client-Side Security and PCI DSS Compliance with Rui Ribeiro
Daily Compliance News: November 12, 2024 – The Science of Corruption Edition
Compliance Tip of the Day: Lessons Learned From Telefónica Venezolana
Daily Compliance News: November 11, 2024 – The Veteran’s Day Edition
Adventures in Compliance – Leadership Lessons from Sherlock Holmes in The Illustrious Client
Sunday Book Review: November 10, 2024 – The Books on Middle Manager Edition
Because That’s What Heroes Do: Deep Space 9: Episode 17 – Sacrifice of Angels: Forging New Alliances with Bonds that Defy Time and Space
10 For 10: Top Compliance Stories For the Week Ending November 9, 2024
12 O’Clock High, a podcast on business leadership – Leadership Lessons from A Man for All Seasons
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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