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
Daily Compliance News: December 6, 2024 – The Boeing Settlement Bounced Edition
Classroom Insiders, Season 2: Understanding Injunctions in SEC Cases: Standards and Circuit Differences
12 O’Clock High, a podcast on business leadership – Jared Connors on Navigating PFAS Regulations, Trade Sanctions, and Sustainability Reporting in 2025
Presidential Leadership Lessons- Reassessing the Legacy of Warren G. Harding
The CFPB's Nonbank Registry Rule: Challenges and Implications — The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: A Look at the FTC’s Click-to-Cancel Rule, with James Kohm, Associate Director of Enforcement Division of the FTC’s Bureau of Consumer Protection
Business Integrity Innovations: The Commercial Approach to Anti-Corruption: Insights from Dr. Maximilian Burger-Scheidlin
Compliance Tip of the Day: Compliance Expertise on Board
Navigating CFPB Enforcement: Key Takeaways From the Global Tel Link Consent Order — Payments Pros – The Payments Law Podcast
Compliance Tip of the Day: Board Compliance Committee
Great Women in Compliance – Neta Meidav on Bridging the Trust Gap
Compliance into the Weeds: DOGE and Compliance
Daily Compliance News: December 4, 2024 – The So It Begins Edition
The Presumption of Innocence Podcast: Episode 50 - Hidden in Plain Sight: How Kleptocrats Exploit U.S. Financial Systems
Compliance Tip of the Day: Boards and Operationalizing Compliance
Daily Compliance News: December 3, 2024-the Under Pressure Edition
Corruption, Crime & Compliance: LRN’s Code of Conduct Survey
Get ready for an exciting new season of Because That’s What Heroes Do. This season, they take a deep dive into their favorite 15 episodes of Deep Space 9. In this exploration, Tom and Megan are joined by Star Trek maven Alex...more
Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance professional and the compliance stories you need to...more
I. US SANCTIONS - US Department of the Treasury Acts to Curtail Russia’s Use of the International Finance System: On November 21, the US Department of the Treasury’s Office of Foreign Assets Control (“OFAC”) designated...more
The Consumer Financial Protection Bureau (CFPB) announced this week that it intends to increase the scrutiny on data brokers to better protect service members, law enforcement officials, domestic violence victims, senior...more
While many Federal agencies, including the prudential bank regulators, have decided to hold back moving forward with initiatives until after the inauguration in January, the Consumer Financial Protection Bureau ("CFPB") has...more
On 21 November 2024, the US District Court for the Northern District of Texas (Court) ruled against the US Securities and Exchange Commission (SEC) in two separate cases, vacating its rule which expanded the definition of...more
Earlier this week, the Board of Governors of the Federal Reserve System (FRB), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Financial Crimes Enforcement Network (FinCEN), National...more
On December 3, 2024, Judge Amos L. Mazzant III of the U.S. District Court for the Eastern District of Texas issued a nationwide preliminary injunction in the case of Texas Top Cop Shop, Inc. et al. v. Garland, halting the...more
The Corporate Transparency Act (“CTA”) requires most companies—except for certain exempt entities—to disclose their ownership details to the Financial Crimes Enforcement Network (“FinCEN”). A looming January 1, 2025 reporting...more
As Artificial intelligence (AI) continues to be adopted and used by Australian Financial Services (AFS) licensees broadly, it has become increasingly evident that many licensees’ deployment of AI falls short of their existing...more
Congress passed the Corporate Transparency Act (CTA) as an anti-money laundering initiative in 2021 designed to combat the use of anonymous “shell companies” to facilitate money laundering, terrorist financing, and threaten...more
With the enactment of the Corporate Transparency Act (CTA), so-called “Reporting Companies” were required to disclose to the U.S. federal government, via the submission of a Beneficial Ownership information (BOI) Report to...more
On December 4, 2024, EU Regulation 2024/2987 (EMIR 3), amending EU Regulation 648/2012 on the European Market Infrastructure (EMIR), was published in the EU Official Journal. EMIR 3 will enter into force on December 24, 2024,...more
With the CFTC still in the early stages of its fiscal year, in the month of November, we did not see a lot of action by way of publicly-released enforcement actions from the CFTC or enforcement-related public statements from...more
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 9, 2024 in order to cover such fees (with a recommendation from IARD...more
The U.K. Financial Conduct Authority has published its second consultation on a proposed new approach to publicising its enforcement investigations and changes to its Enforcement Guide. The FCA first consulted on these...more
Ein Jahr nach Inkrafttreten der neuen EU-Verbraucherkreditrichtlinie (Richtlinie 2023/2225) im November 2023: Wann kommt die Umsetzung, was wird geregelt und wie sind die Reaktionen der Wirtschaft? Die...more
Anyone who moves out of Germany and has investment shares or transfers them outside of Germany will have to pay taxes – even if the shares are not sold. Private investors in investment funds will have to pay taxes in the...more
As we gear up for the final quarter of 2024, this is an excellent time to review Cayman based entities with a financial year end of 31 December 2024 and consider the position of these entities with respect to the Cayman...more
On November 17, 2024, the Department of the Treasury (“Treasury”), in its role as chair of the Committee on Foreign Investment in the United States (“CFIUS” or “the Committee”), published a final rule (“Final Rule”)...more
Entities subject to CTA coverage should continue to prepare to report BOI to FINCEN. On December 3, 2024, the U.S. District Court for the Eastern District of Texas issued a nationwide preliminary injunction blocking the...more
On December 4, 2024, the Commodity Futures Trading Commission (“CFTC”) released its enforcement results for Fiscal Year 2024 (“FY 2024”), showcasing record awards of monetary relief totaling more than $17.2 billion....more
In this bulletin, we consider the current state of the EU, U.K. and U.S. markets for credit risk transfer (“CRT”) transactions, with a particular focus on the fund finance market. For a more in-depth introduction to this...more
The consultation paper also includes a discussion chapter about further reform, either now or in the future, to make the rules better suited to the range of U.K. licensed firms and their clients. This includes in...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more