Podcast - The CFPB Takes Action on a Toronto-Based Bank’s Consumer Credit Reports
Consumer Finance Monitor Podcast Episode: Post-Election Insights: Impacts on the Banking and Consumer Financial Services Industry
5 Key Takeaways | State Sales Tax in 2024: What Every Retailer Needs to Know
Lemon Law Shakeup: Rodriguez vs. FCA US Has Unexpected Result – Moving The Metal Podcast
Riskology By Infortal™: Episode 37 – Boots on Deck: Managing Maritime Risk with Joshua Hutchinson from AMBREY
FCPA Compliance Report – Episode 737 – Navigating Compliance in a Trump Presidency: Insights and Concerns
Sunday Book Review: November 24, 2024 – The Thanksgiving Mysteries Edition
Fox on Podcasting – Unleashing Creativity and Profit Through Podcast Seasons
10 For 10: Top Compliance Stories For the Week Ending November 23, 2024
JONES DAY TALKS®: Five Pillars of Series A Shareholder Rights: A Discussion for VC Investors
Compliance Tip of the Day – Policy Week: Extortion Payments
Daily Compliance News: November 22, 2024 – The All NYT Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public Offerings?
Fintech Focus Podcast | Reconciling AI With Fair Lending and Consumer Protection
Navigating New York City's New Debt Collection Rules — The Consumer Finance Podcast
Business Integrity Innovations: Championing Integrity – Trade, Integrity, and Investment in Africa: Insights from Toki Mabogunje
Consumer Finance Monitor Podcast Episode: An Empirical Study of Boilerplate in Consumer Contracts
Daily Compliance News: November 21, 2024 – The Adani Group Edition
Compliance Tip of the Day: Policy Week - Facilitation Payments
The United States Government Accountability Office (GAO) released a report on the impact of Department of Labor Regulations (DOL)....more
On November 12, the FDIC released its biennial survey of unbanked and underbanked households revealing that the unbanked rate in the U.S. fell to a historic low of 4.2 percent in 2023. This rate decreased from 4.5 percent in...more
On November 19, 2024, the Canadian Securities Administrators (CSA) announced it is seeking feedback on proposed changes to implement an access model for annual financial statements, interim reports and related management’s...more
On October 29, FDIC Chairman Martin J. Gruenberg delivered a speech at Goethe University to discuss the experiences with deposit insurance and bank resolution in the EU and U.S. Gruenberg emphasized the benefits of a federal...more
On November 21, 2024, the U.S. Department of the Treasury’s Office of Foreign Assets Control (“OFAC”) designated Gazprombank, over 50 internationally connected Russian banks, more than 40 Russian securities registrars, and 15...more
On November 4, the FDIC issued its list of state nonmember banks recently evaluated for compliance with the CRA. The evaluations, covering ratings assigned in August 2024, assessed how well banks met the credit needs of their...more
The UK’s All-Party Parliamentary Group (APPG) on investment fraud and fairer financial services (a group of thirty Members of Parliament and a dozen members of the House of Lords) has published a press release and a...more
Recently, the U.S. District Court for the District of North Dakota received a motion from two banking associations seeking intervenor status in a case challenging Regulation II, which regulates interchange fees received by...more
As of June 1, 2024, FINRA member firms have been able to identify as a “Residential Supervisory Location” (RSL) a “private residence from which an associated person engages in supervisory functions,” so long as certain...more
November 26, 2024 - The Federal Reserve on Tuesday released the minutes of the Federal Open Market Committee meeting that was held on November 6–7, 2024. November 26, 2024 - The Federal Reserve Board published a working...more
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •Accounting fraud charges for allegedly concealing costs; ...more
As an update to our previous blog posts, Greater Flexibility for Reporting Issuers: Access Equals Delivery and CSA Seeks Comments on “Access Equals Delivery” Model for Prospectuses, Financial Statements and MD&A, the Canadian...more
EXECUTIVE SUMMARY - Fund sponsors may offer their employees and other investment professionals an opportunity to invest in its funds through a co-investment program, which a lender may partially finance....more
No sooner had President elect Trump’s win been announced that speculation began about the implications for bank regulations. “Trump Administration may upend banking industry,” proclaimed a headline in USA Today, while Yahoo...more
The U.K. Financial Conduct Authority has published a consultation on further temporary changes to handling rules for motor finance complaints. The FCA explains that following the Court of Appeal's recent judgment on motor...more
On November 11, 2024, the Financial Reporting Council (FRC) published a consultation on proposed revisions to the UK Stewardship Code 2020 (the Code). The FRC recently published a consultation on proposed revisions to the...more
Our latest report delves into the key trends and noticeable events that have shaped the dynamic Dutch public M&A landscape from January 1, 2023 to November 12, 2024. Key trends we want to highlight are: 1. Low deal...more
Our Financial Services Group unpacks the Consumer Financial Protection Bureau’s final rule on consumer financial data rights under Section 1033 of the Dodd–Frank Act....more
High yield bond issuance in the US and Europe has made strong gains as issuers return to the market to refinance at more attractive rates - High yield bond markets in the US and Europe made strong gains through the first...more
This session of the Private Client West Coast Forum 2024 focused on recent developments, including income tax planning to support investment performance, executive compensation planning, private placement life insurance...more
On November 14, 2024, the UK government unveiled its National Payments Vision (the Vision), a strategy designed to reshape the UK’s payments ecosystem. This Vision responds to the findings of the 2023 Future of Payments...more
We distil key practical takeaways from the UK Government’s official guidance on the corporate criminal offence of failure to prevent fraud (the Guidance). Businesses and compliance teams will be working to review and...more
As we have previously reported over the last two weeks, the 29th Annual United Nations (UN) Climate Change Conference (COP29) focused heavily on climate finance and implementing key strategies for global emissions reduction,...more
After its fiscal year-end frenzy in September, the SEC relaxed slightly, with no new rule-making and fewer enforcement actions. So, I took a break last month and combined the October and November Roundups. (You’re welcome.)...more
A recent summary judgment decision in Nina Quinn-Davis vs. TrueAccord Corp., Case No. 1:23-cv-23590-LEIBOWITZ/REID (S.D. Fla. Nov. 20, 2024), addresses core merits issues in Florida Consumer Collection Practices Act (FCCPA)...more