Regulatory Ramblings: Episode 55 – A Former Singapore Regulator Reflects on the World of Virtual Assets with Angela Ang
Compliance Tip of the Day: Reinforce Whistleblower Policies Through Training and Comms
Compliance and AI: Navigating Compliance with AI – Sage Franch and Scott McCleskey on RuleBook AI
Daily Compliance News: October 11, 2024 – The Breaking Up May Be Hard to Do Edition
Navigating the CFPB's Controversial Interpretive Rule on BNPL Products — The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: The Regulation of Negative Option Consumer Contracts – Silence as Consent
Business Integrity Innovations: Championing Integrity – Em Ekong on the Future of African Entrepreneurship
Compliance Tip of the Day: Assess and Act on Internal Reports Thoroughly
Everything Compliance: Episode 142, The 2024 ECCP Episode
Daily Compliance News: October 10, 2024 – The Pray for Florida Edition
Compliance Tip of the Day: Encouraging and Incentivizing Reporting
Great Women in Compliance: Katharine Manning – Trauma-Informed Leadership at Work
Daily Compliance News: October 9, 2024 – The Sue The SEC Edition
Riskology by Infortal™: Episode 33 – Corporate Intelligence: Myth Vs. Reality
The Chemical Show: Leadership’s Role in Compliance and Safety Culture with Tom Fox
Compliance Tip of the Day: The Importance of Having a Hotline
Everything Compliance: Shout Outs and Rants – Episode 142
SBR-Author's Podcast: Inspiring Integrity with Steve Vincze
Innovation in Compliance: Tina Grubisa on Creating a Culture of Governance with Athennian
Daily Compliance News: October 8, 2024 – The National Security Edition
If only every sports team owner had it this good: Kansas City Chiefs CEO and controlling shareholder Clark Hunt is trying to decide whether to move his Kansas City-based team across the border from Missouri to the Kansas side...more
The purpose of this article is to unpack the basic building blocks of what constitutes a NAV Loan to make sure that market participants have a basic understanding of what is in a NAV Loan and their key negotiated issues. As...more
The European Commission has produced the first leg of its long awaited consultation on the function of the EU Securitisation Framework ("ESF") in the form of a paper setting out consultation questions....more
Bill 72, An Act to protect consumers against abusive commercial practices and to offer better transparency with respect to prices and credit, was recently tabled by the Québec government. This legislation includes amendments...more
Macroeconomic uncertainty has impacted Indonesian debt markets in recent years. But, after a period of disruption, prospects for domestic and offshore debt issuances are brightening....more
The Prudential Regulation Authority’s (PRA’s) director of insurance supervision, Shoib Khan, recently clarified the PRA’s approach to the UK (re)insurance market, including in the following key areas...more
Today on “Terra Firma: Conversations on Commercial Real Estate,” Stacey Tyler and Stephen Tanico speak with Harold Bordwin, principal and co-president of Keen-Summit Capital Partners, about recent depressed values in the real...more
The UK’s Financial Conduct Authority ("FCA") has recently successfully applied to the Court of Appeal to uphold an earlier decision to impose requirements for redress in relation to conflicts of interest. This decision serves...more
In the past four months, the French judicial court has provided significant clarifications regarding the liability of digital asset service providers (DASPs) in managing their clients’ crypto-assets through three key rulings....more
Here are curated AG and federal regulatory news stories highlighting key areas in which state and federal regulators’ decisions are having an impact across the US: •GOP AGs Urge Congress to Tune In and Support AM Radio in...more
Effective January 1, 2024, the Corporate Transparency Act (the “Act”) requires many U.S. businesses to disclose information regarding their beneficial owners. Failure to comply with the Act can result in significant civil and...more
The U.S Department of Justice’s (DOJ or Department) Corporate Whistleblower Awards Pilot Program (Pilot Program) has hit the ground running, reportedly triggering more than 100 reports since it went live on August 1, 2024....more
On October 3, 2024, the Financial Crimes Enforcement Network (FinCEN) issued new guidance concerning the Corporate Transparency Act (CTA) by updating and expanding on the Beneficial Ownership Information (BOI) Reporting...more
The CFPB issued a Supervisory Highlight detailing findings related to potentially illegal practices by auto-finance companies. The Supervisory Highlight’s key observations include that certain auto-finance companies allegedly...more
October 10, 2024- TD Bank N.A., the 10th largest bank in the United States, and its parent company TD Bank US Holding Company pleaded guilty and agreed to an aggregate of $3 billion in fines and penalties—$1.8 billion in...more
In November 2023, the IRS issued proposed regulations addressing the SECURE 2.0 long-term part-time (LTPT) employee eligibility requirements applicable to 401(k) plans knowing that further guidance would be needed to explain...more
The House and Senate passed the legislation unanimously yesterday afternoon, and Governor Cooper moved quickly to sign the bill into law this morning, making the bill effective today, October 10, 2024. House Bill 149...more
Increased strengthening of the global regulatory landscape in the (re)insurance industry has led to a similar increase in engagement between regulators and those they regulate. Specifically, Bermuda continues to be an...more
As the end of the year approaches, the Corporate Transparency Act (CTA) remains in effect despite facing legal challenges questioning its validity and constitutionality. The CTA, which took effect on January 1, 2024, requires...more
1 The U.S. Attorney's Office for the Southern District of New York recently launched a criminal prosecution in connection with “a scheme to commit fraud in the carbon markets,” specifically that a company and its executives...more
Update to the Cayman Islands beneficial ownership reporting regime - Following industry consultation, the Beneficial Ownership Transparency Act ("BOTA") was gazetted on 15 December 2023 and commenced on 31 July 2024,...more
“Banks have to have the policies, the personnel and the procedures in place to be able to appropriately satisfy the regulatory obligations with respect to [that] due diligence,”...more
As the fourth quarter of 2024 kicks off, businesses are running out of time to determine their compliance obligations under the Federal Corporate Transparency Act (CTA). If your company does not report its beneficial owners...more
With the deadline to transpose the requirements of the Corporate Sustainability Reporting Directive (EU) 2022/2464 (CSRD) into national law expiring on 6 July 2024, we have reviewed and summarised the transposition status for...more
As we have previously written, late last year the New York Department of Financial Services (NYDFS) adopted long-awaited amendments to its Part 500 Cybersecurity Regulations (Part 500). These are some of the most significant...more