Compliance into the Weeds: Everything Old is New Again – The John Deere FCPA Enforcement Action
Daily Compliance News: September 18, 2024 – The Fireworks Coming Edition
Fintech Focus Podcast | Managing a Workforce in a Regulated Environment
Investigation Tag Team: The FTC and the State of Arizona — Moving the Metal: The Auto Finance Podcast
Compliance Tip of the Day: How a CEO Can Set The ‘Tone at The Top’- Part 2
Daily Compliance News: September 17, 2024 - The $100+$106MM Edition
Innovation in Compliance: Greg Shultz on Key Traits for Compliance Professionals: Connecting and Listening
Career Can Do: Mastering Media and Networking for Career Success with Kevin Price
The Ethics Experts: Episode 182 – Olaf Casperson
Corruption, Crime and Compliance: Review of Recent DOJ Declinations
Compliance Tip of the Day: How a CEO Can Set The ‘Tone at The Top’- Part 1
Daily Compliance News: September 16, 2024 – The Retire at 80 Edition
FCPA Compliance Report: Kevin Carroll on The Trump Superseding Indictment
10 For 10: Top Compliance Stories For The Week Ending September 14, 2024
Compliance Tip of the Day: Protecting Against Pre - taliation
Fox on Podcasting: Marilyn Jenkins on The Power of Audio in Legal Thought Leadership
Daily Compliance News: September 13, 2024 – The Politics as Usual Edition
Regulatory Ramblings: Episode 53 – Advanced Quantum Computing Threatens Blockchain Transactional Security and Anonymity with Kapil Dhiman (Quranium)
Why Retailers and Merchants Should Pay Attention to the CFPB - The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: The Demise of the Chevron Doctrine – Part I
In this special joint episode of Payments Pros and The Consumer Finance Podcast, Chris Willis and Carlin McCrory introduce Trevor Salter, a seasoned financial services transactional attorney who recently joined Troutman...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
The recent Boeing plea agreement has led to many discussions about the role of victims in negotiated settlements, and today we have one of the top academic experts on the SEC and financial securities regulation, Karen Woody. ...more
The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting...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
On 22 August 2024, the Senate passed the Treasury Laws Amendment (Financial Market Infrastructure and Other Measures) Bill 2024 (the Bill), which requires certain organisations to make mandatory climate-related financial...more
On 12 September 2024, the UK Government published the regulatory framework providing the scope and powers of the Office of Trade Sanctions Implementation (OTSI), the authority responsible for the implementation and...more
The UK’s Financial Conduct Authority ("FCA") Sustainability Disclosure Requirements and investment labels regime ("SDR") was originally scheduled to come into force from 2 December 2024. In order to allow firms to deal with...more
During the American Bar Association’s Business Law Section Fall Meeting, the International Securities Matter Subcommittee of the Federal Regulation of Securities Committee discussed recent market trends affecting foreign...more
On September 12, 2024, FERC’s Chief Accountant issued a notice of proposed accounting release (“NOPAR”) to modify the transferability of income tax credits (“ITCs”) related to certain energy projects under the Inflation...more
Overall, the first half of 2024 was challenging for fundraising across the private fund market to varying degrees among private debt, private equity (PE) and venture capital (VC). The first half of 2024 saw a variety of...more
Heritage Group has announced an investment in Equiti Health. Equiti, founded in 2004 and based in Sunrise, Florida, is a provider of healthcare-focused language interpretation services....more
Last week, the SEC approved the PCAOB’s new quality control standard – QC 1000 – that establishes a risk-based quality control framework for independent auditors to follow....more
On September 10, the Fed released the prepared remarks given by the Vice Chair for Supervision, Michael Barr, on changes to the Basel III endgame proposal and the capital surcharge for global systemically important banks...more
The Italian Legislative Decree implementing MiCAR has been published in the Official Gazette. Among other things, it designates CONSOB and the Bank of Italy as competent supervisory authorities and sets out a transitional...more
On August 22, the CFPB filed a reply brief in support of its motion urging the U.S. District Court for the Northern District of Texas to dissolve the preliminary injunction and lift the stay on the CFPB’s late fee rule. ...more
In June, California approved amendments to its October 2023 law, Fair Investment Practices by Venture Capital Companies (California VC Diversity Law). The California VC Diversity Law requires covered venture capital...more
On September 3, the Department of the Treasury hosted the tenth official meeting of the U.S.-U.K. Financial Regulatory Working Group in Washington, D.C. Officials from both countries discussed economic and financial...more
On September 5, 2024, the Consumer Financial Protection Bureau (CFPB) released its annual report on debt collection, drawing attention to a range of activities with respect to medical and rental debt collection that the CFPB...more
Parties facing these issues often propose a MIP reset to realign management’s interests with those of the original (and, if applicable, new) sponsor until the eventual full exit. MIP resets have long been used to rescue...more
The Corporate Transparency Act (CTA) imposes far-reaching new reporting obligations on many U.S. businesses, and the penalties for non-compliance are substantial. With only a few months left before the January 1, 2025,...more
This episode of “Fintech Focus” picks up where our last episode “Growing a Workforce in a Regulated Environment” left off. Part Two delves further into workplace considerations for fintechs, and focuses on how they can manage...more
September 30 is the SEC’s fiscal year-end, so it's no surprise to see an uptick in enforcement cases this month. The latest slew of settlements involved violations of the Marketing Rule (Advisers Act Rule 204(4)-1) for...more
Fall is fast approaching, so most major US public companies have held their 2024 annual meetings. But, while temperatures are sure to cool in the coming months, the same can no longer be said for the shareholder activism...more
On August 28, 2024, FinCEN issued a long-awaited final rule meant to address illicit finance activities and national security threats in the asset management industry. The new rule imposes similar requirements on investment...more