Compliance Tip of the Day: COSO Governance Framework: Part 1, Introduction
Daily Compliance News: July 14, 2025, The Secret Business Sauce-Reading Edition
PODCAST: Williams Mullen's Benefits Companion - Employee Stock Ownership Plans (ESOPs) Explained
Adventures in Compliance: The Novels – The Hound of the Baskervilles: Uncovering Compliance – Lessons from The Hound of the Baskervilles
Sunday Book Review: July 13, 2025, The Best Books on History Edition
Compliance Tip of the Day: Design - Centric Internal Controls
Daily Compliance News: July 11, 2025, The What is a COI Edition
Because that's what heroes Do: Deep Space 9 – Episode 29: Character Dynamics and Ethical Tensions in When it Rains
Regulatory Ramblings: Episode 73 - Geopolitical Risk: Thai Tensions / Sanctions, Tariffs & FCPA Enforcement in Asia
From Banks to FinTech: The Evolution of Small Business Lending — The Consumer Finance Podcast
From Banks to FinTech: The Evolution of Small Business Lending — Payments Pros – The Payments Law Podcast
Compliance Tip of the Day: Lessons from Internal Control Failures
Daily Compliance News: July 9, 2025, The TACO Don Caves Again Edition
Driving Digital Security: The FTC's Safeguards Rule Explained — Moving the Metal: The Auto Finance Podcast
SBR-Authors Podcast: A Journey Through Memoir, Technology, and Grief with Tony Stewart
Innovation in Compliance: Maximizing LinkedIn for Personal and Professional Branding with Carol Kaemmerer
Compliance Tip of the Day: Internal Control Deficiencies
Daily Compliance News: July 8, 2025, The Learning on the Job Edition
#Risk New York Speaker Series – Exploring Future Regulatory Trends and Compliance Strategies with Rory McGrath
FCPA Compliance Report: Stay the Course: Ellen Lafferty on Navigating Anti-Corruption Compliance in 2025
Below is this week’s congressional update by BakerHostetler’s Federal Policy team. We’ll continue to post in weeks when both chambers of Congress are in session....more
This Thursday, July 10, Massachusetts Attorney General Andrea Joy Campbell announced a $2.5 million settlement with a company that offers education financing products based in Delaware. ...more
In a typical bull market, private equity sponsors exit out of portfolio assets through IPOs, strategic sales and sponsor-to-sponsor buyouts. But the 2025 deal market has proven to be neither typical nor robust....more
With the seemingly never-ending updates to B2B contracts for compliance with new (and amended) comprehensive state privacy laws, the U.S. Department of Justice’s bulk data transfer rule, and artificial intelligence (AI)...more
On July 1, the OCC released CRA performance evaluations for 22 national banks, federal savings associations, and insured federal branches of foreign banks, covering the period from June 1 through June 30. Of the evaluations...more
On July 1, the U.S. Court of Appeals for the Fifth Circuit affirmed a lower court’s decision denying a short-term lender’s request for a preliminary injunction against the City of Dallas over the City’s new lending...more
On July 7, the CFPB submitted a joint status report to the U.S. District Court for the Southern District of Florida requesting the court maintain its stay pending the Bureau’s Section 1071 rulemaking. The CFPB stated that the...more
On July 8, the U.S. District Court for the Eastern District of Kentucky denied several memoranda for leave to file as amicus curiae in support of an intervenor trade association in a challenge to the CFPB’s Section 1033 rule....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 Digital Operational Resilience Act ("DORA") is the EU's latest legislative effort to enhance digital operational resilience across the financial sector through a harmonised set of rules for managing information and...more
According to a recent press release, the issuer of the USDC stablecoin has submitted an application to the Office of the Comptroller of the Currency (OCC) to establish a national trust bank, First National Digital Currency...more
On June 30, the governor of Connecticut signed into law HB 7042 to amend various provisions to its money transmission statutes, state payments and investments in virtual currency, and minors’ money sharing application...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 in to the Daily Compliance News....more
On July 10, the attorney general from Massachusetts (AG) announced a settlement with a student lender for alleged unfair and deceptive acts and practices in violation of consumer protection and lending laws leading to, among...more
Northlane Capital Partners (NCP) has announced the sale of The Difference Card (TDC) to funds managed by Stone Point Capital. TDC, founded in 2001 and based in Mount Kisco, New York, is a provider of solutions designed...more
On July 9, the California DFPI, alone and joining five other state financial regulatory agencies, announced a multistate enforcement action resulting in a $4.2 million penalty against a licensed money transmitter for alleged...more
On July 8, CFTC Commissioner Kristin Johnson remarked on the rapid integration of AI and machine learning technologies specific to the financial sector. To deter bad actors, the Commissioner noted how using AI to commit fraud...more
On July 10, the OCC, the Fed, and the FDIC (the agencies) published a joint notice in the Federal Register for public comment on Call Report forms applicable to U.S. bank holding companies identified as global systemically...more
An increasingly aggressive plaintiffs’ bar has brought purported class action suits based on the nearly ubiquitous use of tracking technologies used for website analytics. Although any actual harm to the plaintiffs is...more
Thinking about succession planning, employee engagement, or selling your business? On this episode of Williams Mullen's Benefits Companion, host Brydon DeWitt is joined by Nona Massengill, a partner focusing on Executive...more
Congress continues to prioritize digital asset legislation, with the House leadership designating the week of July 14 as “Crypto Week,” when the House plans to vote on three significant pieces of digital asset legislation:...more
President Trump has ended the broad U.S. sanctions embargo on Syria, but sanctions against certain designated targets remain in place. As of July 1, 2025, Executive Order 14312: Rescinds the Treasury Department’s Office of...more
On June 18, 2025, the New York Legislature passed the Fostering Affordability and Integrity through Reasonable (FAIR) Business Practices Act (the “FAIR Act”). This significant legislation marks the most substantial update to...more
The European Banking Authority (EBA) has published technical advice to the European Commission, alongside a press release, on a possible Delegated Act concerning fees for the validation of pro forma models under the European...more
The European Banking Authority (EBA) has issued its final guidelines, accompanied by a press release, on the treatment of acquisition, development and construction (ADC) exposures to residential property under Article 126a of...more