Fintech Focus Podcast | Navigating IT and Security Risks in Fintechs in Light of Impending DORA Deadline
Fox on Podcasting- Celebrating Excellence in Podcasting in the Domestic Arena
All Things Investigations: FCPA Alert Week – Dan McLaughlin on Lessons Learned in 2024
Great Women in Compliance – Jacquelyn Pruet on Driving Change in Challenging Environments
Compliance into the Weeds: Potpourri of Compliance Issues
Daily Compliance News: December 11, 2024-the Atomic Make-Up Edition
All Things Investigations: FCPA Alert Week – Mike DeBernardis on the FCPA & Anti-Bribery 2024 Alert
Fox on Podcasting – Celebrating Excellence in Podcasting in the International Arena
Compliance Tip of the Day: Leveraging AI for 3rd Party Risk Management
All Things Investigations: FCPA Alert Week – Jiaxing Hao on Understanding the Role of Multilateral Development Banks in Anti-Corruption
The FHA's Impact on Consumer Reporting Agencies – FCRA Focus Podcast
Innovation in Compliance – From Engineer to Business Coach: Insights on Leadership and Growth with Brad Farris
Punter Southall Law, Head to Head: Judge Seo Yoon Lee on AI & Human Rights
Compliance Tip of the Day: AI in Compliance-the Next Frontier is Here
Adventures in Compliance- Culture Lessons in ‘The Adventure of the Three Garridebs’
Daily Compliance News: December 9, 2024 - The TikTok for Sale Edition
Sunday Book Review: December 8, 2024 – The Top Business Books from 2024 Edition
Deep Space 9 – Episode 18: Waltz: A Deep Dark Dive into Madness
10 For 10: Top Compliance Stories For the Week Ending December 7, 2024
Compliance Tip of the Day: Boards and Digital Transformation of Compliance
On December 7, 2024, the US Financial Crimes Enforcement Network (FinCEN) confirmed that reporting companies—i.e., companies that would be required to report their beneficial ownership information to FinCEN under the...more
While existing regulations won't be erased overnight, the Trump Administration can quickly rescind informal agency guidance, including advisory opinions, interpretive rules and policy statements, creating opportunities for...more
The deadline for associations to receive their completed structural reserve studies is Dec. 31. Across the state, condo owners and their associations are going to soon be waking up to the reality that their financial...more
On Tuesday, December 3, 2024, a Texas federal judge granted a preliminary injunction halting the continuing implementation of the Corporate Transparency Act (CTA) and its beneficial ownership information (BOI) reporting...more
In reviewing FCPA bribery fact patterns, it is a rare occasion when a company’s CEO is at the epicenter of the criminal conspiracy. In the BIT Mining case, standing atop all of the actors is the CEO Zhengming Pan, Bit...more
On December 3, 2024, the U.S. District Court for the Eastern District of Texas issued a nationwide preliminary injunction in Texas Top Cop Shop, Inc., et al. v. Garland, et al., blocking enforcement of the Corporate...more
On December 10, the Federal Trade Commission (FTC) announced that it is distributing more than $540,000 in refunds to victims of an abusive debt collector group. The debt collectors allegedly threatened consumers with...more
The U.S. Department of Housing and Urban Development (HUD) has extended from January 1, 2025 until July 1, 2025, the compliance date for certain provisions of the department’s rule entitled “Modernization of Engagement with...more
As we approach the end of the year, so too do fintechs approach the impending deadline for implementing the raft of requirements under the EU’s Digital Operational Resilience Act (DORA). Cybersecurity and data privacy counsel...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
On November 22, 2024, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year of 2024. The report shows a mixed result. The SEC only brought 583 actions in FY 2024, a 26% decrease...more
The U.K. Financial Conduct Authority has published a policy statement on changes to its financial crime guide, following its consultation in April. The changes cover the following areas: (i) sanctions—to reflect information...more
Few industries experienced a more drastic reversal of fortune on Election Day than the cryptocurrency sector. On November 4, several of its largest companies were locked in a seemingly interminable battle with the Securities...more
The European Commission rejected the European Supervisory Authorities' draft ITS in September on the basis that financial entities should have the choice of using either EU unique identifiers or legal entity identifiers. The...more
On November 26, 2024, the Fifth Circuit Court of Appeals held that the United States Office of Foreign Assets Control (“OFAC”) exceeded its authority by adding an entity that pools and anonymizes crypto transactions to OFAC’s...more
On November 22, 2024, the D.C. Circuit Court of Appeals enjoined the Financial Institution Regulatory Authority (“FINRA”) from expelling a member firm without Securities and Exchange Commission (“SEC”) review. Alpine...more
On December 3, 2024, the Consumer Financial Protection Bureau (CFPB) published its long anticipated proposed rule aimed at regulating data brokers under the Fair Credit Reporting Act (FCRA). Although the CFPB’s future is...more
The Bank of England has published a consultation paper on the proposed revocation of the U.K. technical standards on simplified obligations. The U.K. retained the EU framework for determining the level of information required...more
The SEC’s Division of Examinations issued its 2025 Exam Priorities a few months ago. 2025-exam-priorities.pdf Many articles have been written about those priorities, but none—at least that I have seen—have addressed the focus...more
Financial centres around the world have been hosts to branches and representative offices of international banks since as early as the 19th century. The term “branch” refers to a local establishment of a foreign financial...more
The International Organization of Securities Commissions has published its final report on the evolution in the operation, governance, and business models of exchanges. The Report focuses on equity exchanges, but IOSCO...more
On December 5, 2024, the Staff of every market-facing division of the U.S. Commodity Futures Trading Commission (CFTC) issued a joint “Staff Advisory” on the use of artificial intelligence in CFTC-regulated markets and...more
The U.K. Financial Conduct Authority has published a new direction for the U.K. derivatives trading obligation, together with an explanatory memorandum. The FCA's existing direction modifying the U.K. DTO using its Temporary...more
For the past week, millions of companies have been eagerly awaiting the Financial Crimes Enforcement Network’s (FinCEN) statement in response to the December 3, 2024 preliminary injunction that has halted enforcement of the...more
The reporting requirement of the Corporate Transparency Act (CTA) was preliminarily enjoined on December 3, 2024, by an Order of the U.S. District Court for the Eastern District of Texas. The Court issued a nationwide...more