Corruption, Crime & Compliance: Four Sanctions Cases That Everyone Should Know
Compliance Tip of the Day: DOJ Whistleblower Financial Incentive Program
Adventures in Compliance: Special Episode: Old Time Radio Meets The Silver Screen – Adam Graham on The Movie ‘The Adventures of Sherlock Holmes’
Daily Compliance News: October 7, 2024 – The Oops Edition
Episode 339: Four Sanctions Cases Everyone Should Know
Sunday Book Review: October 6, 2024 The books Top 2024 Sports Books Edition
10 For 10: Top Compliance Stories For The Week Ending October 5, 2024
TechLaw10: Regulatory Change for Social Media
Produce on Purpose Podcast - Protecting Data and Ensuring Compliance with Tom Fox
Compliance Tip of the Day: Leveraging Compensation to Drive Compliance
Creativity and Compliance: Engaging Compliance – From Training to Values
2 Gurus Talk Compliance: Episode 38 – The SCCE Wrap Up Edition
Daily Compliance News: October 4, 2024 – CEOs Turning to Podcasts Edition
Consumer Finance Monitor Podcast Episode: Have State-Chartered, FDIC-Insured Banks Finally Achieved Interstate Usury Parity with National Banks?
CFPB's Focus on Student Loan Servicing: Insights from the Office of Servicemember Affairs Report — The Consumer Finance Podcast
The Evolving Landscape of B2B Payments: Regulatory Trends and Financial Practices Explained — Payments Pros – The Payments Law Podcast
Compliance Tip of the Day: Fostering a Culture of Speak Up
FTC and CFPB Focus on Medical, Rental Debt Collection Practices
Compliance into the Weeds: The 2024 ECCP Update on Data Access
Great Women in Compliance: Vanessa Hans on The Power of Collective Action
On October 4, the Supreme Court granted certiorari in the case of McLaughlin Chiropractic Associates, Inc. v. McKesson Corporation. This case will address a critical question that has been a point of contention among various...more
To counter Russia's ongoing aggression in Ukraine, on 12 June 2024, the U.S. announced additional sanctions and export controls intended to “continue to drive up costs for the Russian war machine”. Specifically, these...more
On January 1, 2024, the new reporting requirements under the Corporate Transparency Act (the “CTA”) took effect in the United States. The CTA, aimed at increasing corporate transparency and combating financial crimes,...more
In the early days of the workforce, retirement was a foreign concept—people worked until they died. Life expectancy was significantly lower than it is today, making the idea of retirement nearly irrelevant....more
In the midst of a national election cycle, now is a good time for investment advisers to refresh their understanding on the SEC’s Pay to Play Rule (the “Rule”) and related SEC staff guidance As demonstrated by a number of...more
The Justice Department’s Antitrust Division has been aggressively pursuing civil enforcement actions. While criminal enforcement of antitrust laws has been depressed, DOJ has found success in pursuing civil and merger...more
Saying that reverse redlining is a form of discrimination, the U.S. District Court for the Southern District of Texas has refused to dismiss a discrimination case alleging that Texas developer Colony Ridge specifically...more
After two decades and three proposed rulemakings on whether investment advisers should have anti-money laundering (AML) and countering the financing of terrorism (CFT) program requirements and attempting to identify the...more
About eight years ago, I propounded the following five theses regarding the Securities and Exchange Commission's whistleblower bounty program...more
Welcome to the latest instalment of the Bermuda Regulatory & Risk Advisory Bulletin. In a constantly evolving regulatory environment, this bulletin serves as a platform for insightful commentary and expertise in regulatory...more
Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we take up a potpourri of topics. We have the quartet of Matt Kelly, Special Guest Susan Divers, Jonathan...more
Welcome to the Sunday Book Review, the Authors Podcast! Don’t miss out on this episode of SBR-Author’s Podcast, where Tom Fox sits down with Steve Vincze, a seasoned compliance practitioner in healthcare, celebrating the...more
Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the...more
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All...more
In line with broader efforts to remove procedural deterrents from issuers engaging in securities offerings, for about the past year, the German Federal Financial Supervisory Authority (Bundesanstalt für...more
The Registration, Inspections and Examinations Division (“RIE”) of the Ontario Securities Commission (“OSC”) has released its annual Summary Report for Dealers, Advisers and Investment Fund Managers (the “Report”) for the...more
A CFPB Circular from June bears additional scrutiny from across the financial services spectrum. Despite most courts allowing “savings” clauses in contracts, the Consumer Financial Protection Bureau (CFPB) indicates that the...more
Accountants are professionals. They carry malpractice insurance. They are potential deep pockets. For these reasons, accountants sometimes find themselves defending against liability claims in business divorce lawsuits. The...more
According to a recent press release by the banking cooperative that operates the world’s foremost global payment messaging network, central and commercial banks will soon be able to use the network “to carry out trial...more
On September 24, the Governor of California signed AB 2017 (the “Act”) into law. The Act prohibits state-chartered banks and credit unions from charging consumers non-sufficient fund fees (“NSF fees”) when they initiate...more
On 27 September 2024, the UK’s financial sanctions regulator, the Office of Financial Sanctions Implementation (OFSI), announced that it had issued its first monetary penalty for a breach of UK financial sanctions imposed...more
On September 30, a credit repair service provider and its owner were ordered to pay $31 million in consumer redress, and a $19 million civil money penalty, when a Massachusetts federal court granted summary judgment for the...more
On October 1, the CFPB issued an advisory opinion highlighting that debt collectors engaging in certain practices with respect to the collection of medical debts are strictly liable under the FDCPA and Regulation F....more