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Goodwin

Exclusivity Provisions: Fintechs Need an Active Backup Bank

Goodwin on

Virtually every bank’s form lending program agreement we’ve negotiated for our fintech clients has come with an exclusivity provision.  The bank’s policy behind them is simple: We’ve put in the time, effort, expertise...more

Keating Muething & Klekamp PLL

Documentation is Key When Claiming QSBS Benefits

In recent years, the utilization of qualified small business stock (“QSBS”) under Section 1202 has grown considerably. Many businesses are formed as corporations at conception, private equity investors calculate the tax...more

Mayer Brown Free Writings + Perspectives

SEC Crypto Task Force Holds Roundtable on Crypto Custody

On March 25, 2025, the Securities and Exchange Commission (“SEC”) held a Crypto Task Force roundtable to explore regulatory considerations surrounding custody of crypto assets through broker-dealers and other financial...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day – AI and Behavioral Analytics

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

Thomas Fox - Compliance Evangelist

Daily Compliance News: April 30, 2025, The 4 AM Wake-Up Call 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 morning coffee, and listen to the Daily Compliance News. All, from the...more

Carlton Fields

FINRA Adds On to Its Annual Oversight Report - Building in RILA Sales Guidance for First Time

Carlton Fields on

In a section titled “Annuities Securities Products,” FINRA’s 2025 Annual Regulatory Oversight Report, issued on January 28, 2025, addresses regulatory obligations related to the sales of variable annuities (VAs) and...more

Thomas Fox - Compliance Evangelist

Regulatory Ramblings: Episode 68 - Why Geopolitical Risk Matters to Compliance and Legal Staff with Mark Nuttal and Chad Olsen

The hasty U.S. withdrawal from Afghanistan in August 2021 under the Biden administration—and the fallout that followed—along with the Russian invasion of Ukraine in February 2022 and the ongoing war, have created inflationary...more

Mandelbaum Barrett PC

The $5 Million Hush Money Payment in White Lotus Season 3

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The explosive finale of White Lotus Season 3 left fans with more than just plot twists—it raised fascinating legal and tax questions. Chief among them: what are the implications of Greg’s $5 million wire transfer to Belinda,...more

Troutman Pepper Locke

SEC Clarifies Disclosure Requirements for Crypto Asset Securities

Troutman Pepper Locke on

On April 10, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance (the Division) issued a statement aimed at providing greater clarity on the application of federal securities laws to crypto assets....more

Latham & Watkins LLP

All’s Well That Ends Well for Keepwell Providers?

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No loss to issuers puts note trustees in the spotlight. The Hong Kong Court of Final Appeal (CFA) has overturned the Court of Appeal’s order that Peking University Founder Group Company Limited (PUFG), as the keepwell...more

Ballard Spahr LLP

Appeals court temporarily bars mass firings at CFPB

Ballard Spahr LLP on

The U.S. Circuit Court of Appeals for the District of Columbia has upheld a temporary injunction issued by Judge Amy Berman Jackson of the U.S. District Court for the District of Columbia prohibiting the CFPB from firing more...more

Ropes & Gray LLP

Capital Markets & Governance Insights - April 2025

Ropes & Gray LLP on

In This Edition SEC Climate Disclosure Rule Developments In early March 2024, the Securities and Exchange Commission (SEC) adopted rules to enhance and standardize climate-related disclosures by public companies and in public...more

Offit Kurman

Director & Officer Duties: What Every Leader Should Know

Offit Kurman on

Earlier this year, the FDIC, acting as receiver for Silicon Valley Bank (“SVB”), filed a breach of fiduciary duty lawsuit against six officers and eleven directors of the bank. The FDIC alleged that these individuals ignored...more

Ballard Spahr LLP

HUD Modifies Exclusive REO Listing Period and Eliminates Exclusive Sales Period

Ballard Spahr LLP on

Recently, the U.S. Department of Housing and Urban Development (HUD) issued Mortgagee Letter 2025-13 to revise the exclusive listing period for certain parties in connection with HUD real estate owned (REO) properties, and...more

Carlton Fields

Recent SEC AML Enforcement Actions and Likely Continued AML Emphasis Under New Administration

Carlton Fields on

Registered investment advisers have until January 1, 2026, to comply with the anti-money laundering (AML) compliance provisions of the Bank Secrecy Act (BSA). However, the SEC has recently charged two investment advisers with...more

Troutman Pepper Locke

Appeals Court Blocks CFPB Layoffs Pending Further Review

Troutman Pepper Locke on

The U.S. Court of Appeals for the District of Columbia Circuit issued an order temporarily halting the Consumer Financial Protection Bureau’s (CFPB or Bureau) mass layoffs. The court granted an emergency motion to enforce or...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

TIAA ranked as top recordkeeper website

A new report by research consultant Corporate Insight (CI) highlights that TIAA, Fidelity, and T. Rowe Price provide the best digital experiences among U.S. recordkeepers....more

Latham & Watkins LLP

UK Government Announces Draft Legislation for Regulating Cryptoassets

Latham & Watkins LLP on

On 29 April, UK Chancellor Rachel Reeves unveiled draft legislation aimed at regulating cryptoassets at the International Fintech Growth Summit (IFGS) in London, sponsored by Latham & Watkins. The proposed legislation...more

Hogan Lovells

Top Tips for Doing Capital Markets Deals in Germany (Updated)

Hogan Lovells on

This practical note was originally published by Practical Law Capital Markets. A practice note setting out top tips from German counsel for doing capital markets deals in Germany. It highlights issues of which lawyers from...more

Cooley LLP

Executive Order Seeks to Eliminate Federal Deployment of Disparate Impact Theory of Discrimination

Cooley LLP on

In an April 23 executive order titled, “Restoring Equality of Opportunity and Meritocracy,” the Trump administration declared it federal policy to eliminate the use of disparate impact liability “in all contexts to the...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Be open and honest

Someone from my past was in a new line of work and I wanted to help them out. They were presenting a new 401(k) tool, which I thought was perfect. I thought it was a solution that could help third-party administrators (TPAs)...more

WilmerHale

Complex and Divided Securities Enforcement Falling to States

WilmerHale on

The Trump administration is bringing significant personnel and policy changes across the federal government’s financial regulators. President Donald Trump has signed an executive order putting agencies and regulators—such as...more

Carey Olsen

Bermuda investment funds - Spring 2025 update

Carey Olsen on

Our investment funds team outline the latest developments within the investment funds market in Bermuda, covering the Bermuda Monetary Authority ("BMA") business plan 2025, BMA Consultation Paper - operational resilience and...more

McGuireWoods LLP

Healthcare & Life Sciences Private Equity Deal Tracker: New Mountain Invests in SmarterDx

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New Mountain Capital has completed a strategic investment in SmarterDx, according to a news release. SmarterDx, founded in 2020 and based in New York, develops clinical artificial intelligence focused on revenue...more

Frost Brown Todd

Trump’s New Executive Order Targeting Disparate Impact Liability May Target Fair Lending as Well

Frost Brown Todd on

On April 23, 2025, President Trump issued an executive order (EO) titled “Restoring Equality of Opportunity and Meritocracy,” which seeks to eliminate disparate impact liability, denouncing it as a threat to equal opportunity...more

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