Antitrust Insights for Private Equity Navigating the New Administration's Policies — PE Pathways Podcast
Navigating 2025: Federal Legislative and Regulatory Updates on Stablecoins and Decentralized Finance — The Crypto Exchange Podcast
The Future of Auto Dealership Compliance: A Conversation With Tom Kline — Regulatory Oversight Podcast
Compliance Tip of the Day: Leading from the Inside Out
Great Women in Compliance: The Future of Enforcement with Jennifer Lee
Compliance into the Weeds: Global Anti-Corruption Leadership
Daily Compliance News: March 26, 2025, The Missile Strike on Boeing Edition
2025 Oil Market Outlook: What OPEC, U.S. Shale, and Natural Gas Trends Mean for the Year Ahead
Through the Crystal Ball: What's Next for Auto Finance — Moving the Metal: The Auto Finance Podcast
Compliance Tip of the Day: Clarifying Compliance Mandates
Innovation in Compliance: Visionary Leadership with Jackson Calame
2 Gurus Talk Compliance: Episode 48 – The March Madness Edition
Compliance Tip of the Day: A Personal Operating System for Compliance Professionals
FCPA Compliance Report: Navigating the Complexities of FTO Designations and Compliance in Mexico and Latin America
Daily Compliance News: March 24, 2025, The ABC Task Force Edition
Sunday Book Review: March 23, 2025, The Hard-Boiled Edition
Because That’s What Heroes Do: Deep Space 9 – Episode 25: Penumbra and Beginning of the Final Arc
10 For 10: Top Compliance Stories For The Week Ending, March 22, 2025
FINCast Ep. 40 – 21st Century Financial Warfare: Technology, Economy, & National Security
Compliance Tip of the Day: Embedded Compliance
On March 26, 2025, the Financial Crimes Enforcement Network (FinCEN) of the U.S. Department of Treasury published its revised Corporate Transparency Act (CTA) Beneficial Ownership Information (BOI) reporting rule, also known...more
Two important meetings were held on March 17, 2025 by task forces of the National Association of Insurance Commissioners (“NAIC”): the newly launched Risk-Based Capital Model Governance (EX) Task Force (“RBCMG TF”); and...more
On March 21, 2025, FinCEN issued an interim final rule implementing the Department of the Treasury’s March 2, 2025 announcement that U.S. companies and U.S. beneficial owners will not be subject to any reporting requirements...more
Last year, the Treasury and IRS released two sets of final crypto reporting regulations. The first set, in July, imposed rules for custodial brokers. The second set, in December, imposed rules for DeFi. This piece provides...more
AT A GLANCE - On March 19, the SEC released updated guidance for compliance with Rule 206(4)-1 under the Investment Advisers Act of 1940, with two major revisions: (i) an update to prior guidance regarding the use of...more
The Financial Crimes Enforcement Network (FinCEN) has issued an interim final rule significantly narrowing the scope of the Corporate Transparency Act (CTA) by removing the requirement for U.S. companies and U.S. persons to...more
On March 21, 2025, the Financial Crimes Enforcement Network (FinCEN) issued an interim final rule (IFR) significantly revising the beneficial ownership information (BOI) reporting requirements under the Corporate Transparency...more
On March 20, 2025, the staff of the Division of Corporation Finance (the “Staff”) of the U.S. Securities and Exchange Commission (the “Commission”) made a number of changes to the Division’s Compliance and Disclosure...more
On March 21, 2025, the Financial Crimes Enforcement Network (FinCEN) issued an interim final rule eliminating the requirement for U.S. entities and U.S. persons to report beneficial ownership information (BOI) under the...more
For most registered investment advisers (RIAs), their annual update to Form ADV will be due on March 31, 2025. We have received several questions about “custody” and peculiar situations where RIAs may inadvertently have...more
Australian Update - ASIC's Key Issues Outlook for 2025 - On 24 January 2025, the Australian Securities and Investments Commission (ASIC) released its key issues outlook for 2025 which provides insights for Australian...more
On 19 March 2025, the Securities and Exchange Commission staff issued updated frequently asked questions (FAQs) relating to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Marketing Rule) (available here)....more
In a break from the typical acting agency chairman, Acting Commodity Futures Trading Commission ("CFTC") Chairman Caroline Pham has taken several significant actions, signaled several more, and set the agency on a path to...more
NEW AND PROPOSED RULES - Third Set of Form PF Amendments to Take Effect on June 12, 2025 - Attorneys in Vedder Price’s Investment Services Group recently published a bulletin, available here, on the third set of...more
Green banks are financial institutions with a specific objective: deploying capital to finance projects focusing on sustainability and energy transition. Often publicly owned, green banks follow a dual purpose, being intended...more
On March 21, 2025, FinCEN issued an interim final rule (Interim Rule) that removes the requirement for U.S. companies and U.S. persons to file beneficial ownership information (BOI) reports under the Corporate Transparency...more
The interview below is part of an ongoing effort by McGuireWoods to profile women leaders in private equity (PE) and finance....more
On whether to recommend Bitcoin and other digital assets for clients, financial advisers are wary about their fiduciary duty to clients, according to a CoinShares survey....more
On March 20, 2025, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) issued a final rule extending the recordkeeping requirements under OFAC’s regulations from five years to 10 years. This change...more
FINRA has proposed a single, streamlined rule (the Proposed Rule) to replace FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of an Associated Person)...more
The Financial Crimes Enforcement Network issued an interim final rule that removes the requirement for US companies and US persons to report beneficial ownership information to FinCEN under the Corporate Transparency Act....more
The new administration and Congress are working towards an extension of the 2017 Tax Cuts and Jobs Act (TCJA), the bulk of which expires at the end of 2025. In late February, the House passed a spending bill (H. Con. Res....more
On March 14, 2025, Judge John P. Cronan of the United States District Court for the Southern District of New York granted summary judgment in favor of defendants in an action brought under Section 16(b) of the Securities...more
We are now starting to see a real shift in the UK Financial Conduct Authority’s (FCA) Enforcement strategy following a changing of the guard in 2023, which brought in Therese Chambers and Steve Smart to be Joint Executive...more
On March 21, 2025, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced it is issuing an interim final rule to remove the Corporate Transparency Act’s (CTA) beneficial ownership...more