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DORA: Exploring Finance Compliance Requirements

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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

Bracewell LLP

What Did I Miss? Key UK Sanctions Updates from Q3-4 2024

Bracewell LLP on

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

Barnea Jaffa Lande & Co.

EU’s New Guidance: Travel Rule to Combat Money Laundering in Crypto

Barnea Jaffa Lande & Co. on

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

Dechert LLP

PE Firms Prepare to Navigate Market Uncertainty After U.S. Election

Dechert LLP on

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

Foley Hoag LLP - White Collar Law &...

A Preview of SEC, CFTC, AML, Sanctions and CFIUS Enforcement Priorities Under the Second Trump Administration

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

A&O Shearman

UK Regulators Finalize Policy on Prudential Assessment of Acquisitions and Increases in Control

A&O Shearman on

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

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - November 2024

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

Dechert LLP

Co-Investments: A Growing Strategy in the PE Landscape

Dechert LLP on

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

A&O Shearman

UK guidance on acquisitions and increases in control in PRA and FCA authorised firms

A&O Shearman on

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

Seward & Kissel LLP

Financial Services Firm Affiliates Settle Five SEC Enforcement Actions for Allegedly Misleading Customers and Failing to Act in...

Seward & Kissel LLP on

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

Dechert LLP

Take-Private Deals: Interest Remains High Despite Rising Costs and Risks

Dechert LLP on

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

A&O Shearman

Climate investment is rising fast – but the financing gap to deliver Net Zero is rising faster

A&O Shearman on

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

Blake, Cassels & Graydon LLP

Placements des régimes de pension sous réglementation fédérale : le ministère des Finances propose de nouvelles divulgations

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

Morgan Lewis - ML Benefits

US Supreme Court Agrees to Hear Recordkeeping Fees Case Against Cornell University

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

McDermott Will & Emery

Credit Conditions: Key Debt Market Trends

McDermott Will & Emery on

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

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Loans and hardships don’t affect deferrals

A research paper from the Wharton Pension Research Council states that 401(k) contributions are “remarkably stable” after loans and hardship withdrawals....more

Hogan Lovells

U.S. BIS issues guidance on export control best practices for financial institutions

Hogan Lovells on

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

Orrick, Herrington & Sutcliffe LLP

GOP members of Financial Services Committee pen letter on bank-fintech partnerships

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

Orrick, Herrington & Sutcliffe LLP

CFPB and DHHS Medicare part issue joint statement protecting beneficiaries’ rights

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

Paul Hastings LLP

SEC Examination Priorities Signal Capital Markets Enforcement

Paul Hastings LLP on

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 Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 32

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Wiley Rein LLP

Federal PAC Post-General Election Reports Due December 5

Wiley Rein LLP on

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

Davies Ward Phillips & Vineberg LLP

Making a Profit Is Not Illegal: Capital Markets Tribunal Dismisses Enforcement Proceedings Finding Borrowed Free Trading Shares...

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

Paul Hastings LLP

Daily Financial Regulation Update -- Tuesday November 12

Paul Hastings LLP on

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

Troutman Pepper

NYC DCWP Clarifies Amended Definition of “Debt Collector” Still Includes Creditors

Troutman Pepper on

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

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