All Things Investigations – Anna Hamati on Key Lessons from the TD Bank AML Enforcement Action
CFPB's Supervisory Highlights on Auto-Finance and Auto-Servicing — Moving the Metal: The Auto Finance Podcast
Compliance Tip of the Day: CCOs Reporting to the Board
Navigating the Dark Side of Crypto: Crime, Compliance, and Consumer Protection – The Crypto Exchange Podcast
Everything Compliance, Shout Outs and Rants – Episode 145, 8 Years Later
Innovation in Compliance – Exploring Client-Side Security and PCI DSS Compliance with Rui Ribeiro
Daily Compliance News: November 12, 2024 – The Science of Corruption Edition
Compliance Tip of the Day: Lessons Learned From Telefónica Venezolana
Daily Compliance News: November 11, 2024 – The Veteran’s Day Edition
Adventures in Compliance – Leadership Lessons from Sherlock Holmes in The Illustrious Client
Sunday Book Review: November 10, 2024 – The Books on Middle Manager Edition
Because That’s What Heroes Do: Deep Space 9: Episode 17 – Sacrifice of Angels: Forging New Alliances with Bonds that Defy Time and Space
10 For 10: Top Compliance Stories For the Week Ending November 9, 2024
12 O’Clock High, a podcast on business leadership – Leadership Lessons from A Man for All Seasons
Compliance Tip of the Day – Why Data-Driven Culture is the Future of Compliance
Home About Us Blog Podcasts Resources Giving Back Sponsorship Get Booked 12 O’Clock High, a podcast on business leadership – Leadership Lessons from A Man for All Seasons
Compliance and AI: John Sun on Enhancing Compliance Processes with AI Technology
CFPB’s Supervisory Highlights on Auto-Finance and Auto-Servicing — The Consumer Finance Podcast
Compliance Tip of the Day: 5 Practical Steps for Conducting a Culture Audit that Meets DOJ Standards
Everything Compliance: Episode 144, The Q4, Great Women in Compliance Edition
Numbers never lie. The second most targeted industry in terms of hacking and breaches is Finance, which was the victim somewhere in the realm of 2,306 to 2,792 cyberattacks in 2023 (depending on the source). With each data...more
In recent months, the United Kingdom’s sanctions regime has received noteworthy updates with implications for a range of entities operating both domestically and abroad. The changes are housed in an update to the Russia...more
The EU is continuing to shape the regulatory landscape in the crypto market After the Markets in Crypto-Assets Regulation (MiCA) entered into force in June 2024, a significant step took place last July with the publication of...more
31% of North American respondents believe that the Republican victory in November’s U.S. presidential election has the potential to boost portfolios, particularly for North American firms. Donald Trump’s victory in...more
As the incoming Trump administration prepares to take office, businesses and investors can expect significant shifts in the enforcement priorities of the Securities and Exchange Commission (SEC) and the Commodity Futures...more
The U.K. Financial Conduct Authority and Prudential Regulation Authority have finalized their policy on the prudential assessment of acquisitions and increases of control. The regulators have published a joint policy...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
60% of respondents globally now offer a co-investment program; in North America, 73% of firms offer co-investments. Research reveals that co-investments are a popular strategy for firms, particularly those in North...more
The UK financial services regulators, the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA), have recently set out their final policy on the assessment of acquisitions and increases in control of PRA...more
Who may be interested: Registered Investment Companies; Registered Investment Advisers; Broker Dealers; Compliance Officers; Boards of Directors - Quick Take: The SEC recently settled five separate enforcement proceedings...more
93% of respondents are at least somewhat likely to consider take-private deals in the next 12 months, but compared to last year those who responded “very likely” dropped significantly from 80% to 44% – perhaps due to the...more
Our second annual study into the scale of the financing needed to decarbonize the global economy reveals the challenge is bigger than previously thought. - Our research shows we are USD6 trillion a year short of what needs...more
Le 2 novembre 2024, le ministère des Finances du Canada (le « ministère ») a publié des modifications proposées au Règlement de 1985 sur les normes de prestation de pension (les « modifications proposées ») à des fins de...more
In 2017, several private universities were hit with ERISA class actions alleging various breaches of fiduciary duty and prohibited transactions—including claims that these universities’ defined contribution plans charged...more
Credit Conditions | Q1 2024: High interest rates in 2023 posed significant challenges for dealmakers and debt markets. However, 2024 brings optimism with anticipated rate cuts and improving market conditions, leading to a...more
A research paper from the Wharton Pension Research Council states that 401(k) contributions are “remarkably stable” after loans and hardship withdrawals....more
The U.S. Department of Commerce’s Bureau of Industry and Security (BIS) recently issued new guidance for financial institutions (FIs) to comply with the Export Administration Regulations (EAR). Released on 9 October 2024, the...more
On October 30, Republican congressmembers serving on the U.S. House Committee on Financial Services responded to a joint Request for Information (RFI) issued by the OCC, the Fed and the FDIC. The RFI solicited input on...more
On October 31, the CFPB and Centers for Medicare & Medicaid Services issued a joint statement reminding Medicare providers, Medicare Advantage plans, and debt collectors of their responsibilities under federal law to protect...more
The Securities and Exchange Commission’s Division of Examinations recently released its 2025 priorities. These identify several new or emerging areas of focus that could be precursors to enforcement actions, such as the use...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
All federally registered PACs are required to file post-general election reports with the Federal Election Commission (FEC) by midnight EST on Thursday, December 5, regardless of their activity. This includes both monthly and...more
The Ontario Capital Markets Tribunal (Tribunal) recently dismissed enforcement proceedings brought against several respondents by the Ontario Securities Commission (Commission) in Cormark Securities Inc (Re). The Commission...more
November 11, 2024- Florida’s Office of Financial Regulation placed Alliance Credit Union of Florida in Gainesville, Florida, into conservatorship, and appointed the National Credit Union Administration as conservator....more
In our previous post, we discussed the New York City Department of Consumer and Worker Protection’s (NYC DCWP) decision to delay the enforcement of the amended debt collection rules from December 1, 2024, to April 1, 2025....more