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Stradling Yocca Carlson & Rauth

Navigating the Complexities of CTA Compliance: What You Need to Know

On September 30, 2022, the Financial Crimes Enforcement Network (“FinCEN”) published its final rule to implement beneficial ownership reporting requirements set forth in the Corporate Transparency Act (the “CTA”).   The CTA...more

McGlinchey Stafford

Eighth Circuit Upholds Sanctions Against Defendant in FCRA Lawsuit for Demanding “Too Much” in Discovery

McGlinchey Stafford on

Recently, the U.S. Circuit Court of Appeals for the Eighth Circuit affirmed a discovery ruling, including an award of $93,243.50 in attorneys’ fees, against a defendant in a lawsuit arising under the Fair Credit Reporting Act...more

Baker Botts L.L.P.

CFTC Approves Guidance on Voluntary Carbon Credit Derivative Listings

Baker Botts L.L.P. on

On September 20, 2024, in a 4-1 vote, the Commodity Futures Trading Commission (“CFTC” or “Commission”) approved final guidance for derivatives exchanges concerning the listing of voluntary carbon credit (“VCC”) derivative...more

Troutman Pepper

Stripe Shows Signs of IPO, Despite CEO Comments

Troutman Pepper on

Stripe has options to provide liquidity to investors beyond an IPO, one of which is a stock buyback, said James Stevens, a partner at the law firm Troutman Pepper who works with fintech companies. But “that takes away money...more

Troutman Pepper

Exploring the CFPB's Stance on AI in Financial Services — The Consumer Finance Podcast

Troutman Pepper on

In this episode of The Consumer Finance Podcast, Chris Willis delves into the Consumer Financial Protection Bureau's (CFPB) recent response to the Treasury Department's request for information on the use of artificial...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Lesson from The John Deere FCPA Enforcement Action – Post Acquisition Integration

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

Ballard Spahr LLP

FDIC Issues Notice of Proposed Regulations for Enhanced Recordkeeping for Third-Party Custodial Accounts

Ballard Spahr LLP on

On September 17, 2024, the FDIC board approved a notice of proposed rulemaking that would increase recordkeeping obligations for bank deposits received from third party, non-bank companies that accept those deposits on behalf...more

Latham & Watkins LLP

FCA Publishes Update on Cash Savings Work

Latham & Watkins LLP on

On 18 September 2024, the FCA provided an update on its work in the cash savings market. Following the FCA’s 2023 cash savings market review in light of concerns that higher interest rates were not being passed on effectively...more

Morrison & Foerster LLP

FinCEN Expands its Reach with Final Rules for Investment Advisers and the Residential Real Estate Sector

Key Takeaways - •FinCEN has issued two new final rules to significantly expand regulation around certain investment adviser and residential real estate sectors to combat illicit finance in these areas. These highly...more

Paul Hastings LLP

Daily Financial Regulation Update -- Wednesday September 25

Paul Hastings LLP on

September 24, 2024- The House Financial Services Committee (FSC) held a hearing to conduct oversight of the Securities and Exchange Commission with testimony from all five Commissioners. In preparation of such hearing the...more

Pillsbury Winthrop Shaw Pittman LLP

Venture Capital Fund Manager Considerations for Accepting SSBCI-Related Capital Commitments

The U.S. Treasury Department’s SSBCI program provides a potentially significant source of capital for venture capital fund managers. In particular, venture capital funds focused on targeted geographies may find SSBCI...more

Seward & Kissel LLP

SEC Amends Fund Reporting Requirements on Forms N-PORT and N-CEN, Issues Guidance on Liquidity Risk Management Programs

Seward & Kissel LLP on

The Securities and Exchange Commission (SEC) recently adopted amendments to the reporting requirements of Forms N-PORT and N-CEN and issued guidance related to registered open-end funds’ liquidity risk management programs...more

Brownstein Hyatt Farber Schreck

Regulators Finalize New Approach to Bank Mergers

On Sept. 17, 2024, the Federal Deposit Insurance Corporation (FDIC) Board met to finalize an updated approach to increase scrutiny of bank mergers, particularly those that would result in a bank with over $100 billion in...more

Wilson Sonsini Goodrich & Rosati

2024 Mid-Year Technology and Life Sciences PIPE and RDO Report

Wilson Sonsini Goodrich & Rosati is pleased to present the 2024 Mid-Year Technology and Life Sciences PIPE and RDO Report, analyzing 124 private investments in public equity (PIPEs) and registered direct offerings (RDOs) by...more

Mayer Brown

Preparing for a buy-in: selling illiquid investments

Mayer Brown on

In the latest of our quarterly webinars, we looked at selling illiquid investments in preparation for a buy-in, including...more

Ballard Spahr LLP

Consumer Finance Monitor Podcast Episode: Regulators Escalate Focus on the Risks of Bank Relationships with Fintechs and Other...

Ballard Spahr LLP on

On July 25, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency (collectively, the agencies) issued a “Joint Statement on Banks’...more

Thomas Fox - Compliance Evangelist

Great Women in Compliance: 2024 SCCE CEI Wrap Up

This episode is a rare opportunity for #teamgwic to catch up in person at one of the key Ethics & Compliance events, the SCCE Compliance & Ethics Institute (CEI). CEI was in Grapevine, Texas, and, as usual, was a great...more

Thomas Fox - Compliance Evangelist

Pawtastic Friends: The Paw Talk – Otto, Marchy and Alex

Welcome to Pawtastic Friends-The Paw Talk. In this podcast, host Tom Fox will visit with Michael and Melissa Novelli, co-founders of Pawtastic Friends, as well as those who work with them at Pawtastic Friends. Michael and...more

Hogan Lovells

Cash Savings Market Review update: UK FCA finds room for improvement

Hogan Lovells on

On 19 September 2024, the FCA published an update on its review of the cash savings market and investigation into the practices of the largest 9 firms with easy access savings accounts. With a focus on the effectiveness of...more

Thomas Fox - Compliance Evangelist

Everything Compliance: Episode 141, Tribute to Nick Gallo Episode

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 Jonathan Armstrong, Jonathan Marks, and...more

Orrick, Herrington & Sutcliffe LLP

CFPB Director speaks on refinancing as interest rate decline expected

On September 13, CFPB Director Rohit Chopra addressed the Congressional Black Caucus Foundation, underscoring the pivotal role of housing in wealth accumulation and the imperative to address racial disparities. Chopra...more

Orrick, Herrington & Sutcliffe LLP

CFPB publishes BNPL FAQs

On September 18, the CFPB issued Frequently Asked Questions (FAQ) guidance on Buy Now, Pay Later (BNPL) products. The FAQs are organized into three sections: (i) a general description of BNPL products and “Pay-in-Four” BNPL...more

A&O Shearman

Pensions: Joint DB & DC trustee agenda update - October 2024

A&O Shearman on

Welcome to our monthly update on current legal issues for trustees of DB and hybrid pension schemes, designed to help you stay up to date with key developments between trustee meetings and to support the legal update item on...more

Thomas Fox - Compliance Evangelist

Business Integrity Innovations: Innovating Against the Odds - Dr. Amy Jadesimi on Ethical Business Practices in Nigeria

The Compliance Podcast Network (CPN) and the Center for International Private Enterprise (CIPE) bring you Business Integrity Innovations. This podcast is inspired by Ethics 1st – a multi-stakeholder initiative led by CIPE...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: September 26, 2024 – The Legal Limbo Edition

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

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