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BCLP

FinCEN Adopts AML/CFT Rules for Investment Advisers with Few Changes from Proposed Rules

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On August 28, 2024, the Financial Crimes Enforcement Network (“FinCEN”) adopted final rules (“Rules”) applicable to investment advisers with relatively few changes from the rules as proposed....more

BakerHostetler

The Weekly Hill Update - September 2024 #3

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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

Cooley LLP

FinCEN Issues Final Rule Requiring Investment Advisers to Establish Anti-Money Laundering Programs

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On August 28, 2024, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a final rule that expressly includes certain investment advisers in the definition of a “financial institution”...more

Hogan Lovells

It’s the final countdown... for self-disclosure under DOJ’s amended Corporate Enforcement Policy

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The recent amendment to the Corporate Enforcement and Voluntary Self-Disclosure Policy (CEP) of the Department of Justice’s (DOJ’s) Criminal Division expects companies to self-disclose allegations of misconduct within 120...more

Perkins Coie

FDIC’s Proposed Changes to Custodial Deposit Accounts: Practical Implications for Fintechs and Their Banks

Perkins Coie on

The Federal Deposit Insurance Corporation (FDIC) issued a Notice of Proposed Rulemaking (the Proposal) on September 17, 2024, that seeks to strengthen recordkeeping for bank deposits held by nonbank companies on behalf of...more

Cooley LLP

PCAOB spotlight on auditor independence outlines considerations for audit committees

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The PCAOB has released a new Spotlight on auditor independence, which provides observations from PCAOB inspections regarding independence issues and identifies considerations for both auditors and audit committees. Auditor...more

Hogan Lovells

Update on cost disclosures for London listed investment companies

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With effect from 19 September 2024, the FCA will no longer require London listed closed-ended investment funds to comply with the PRIIPs cost disclosure regime. Statements by the Government and the FCA have introduced...more

Thomas Fox - Compliance Evangelist

The Ethics Experts: Episode 183 – Julie Winkle Giulioni

In this episode of The Ethics Experts, Nick welcomes Julie Winkle Giulioni. Throughout her career, Julie has championed workplace growth and development. She operates on the belief that everyone deserves the opportunity to...more

Jones Day

Investment Advisers Subject to AML and SARs Requirements

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The Situation: The Financial Crimes Enforcement Network ("FinCEN") has adopted a rule that subjects certain investment advisers to anti-money laundering/countering the financing of terrorism program ("AML") requirements...more

Latham & Watkins LLP

SEC Reels in Fishy NFT Project

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In its third action involving NFTs, the SEC targets a restaurant membership token tied to fundraising and promises of potential price appreciation for buyers....more

Cooley LLP

Cybersecurity Form 8-Ks: Corp Fin’s Interesting Comment Letter Process

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We’ve known for some time that Corp Fin is reviewing Form 8-Ks filed after a company experiences a cybersecurity incident – including whether those 8-Ks should be filed under Item 1.05 or Item 8.01. These reviews have...more

WilmerHale

SEC Adopts New Regulation NMS Rules on Tick Sizes, Access Fees and Market Data

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On September 18, 2024, the Securities and Exchange Commission (SEC or Commission) approved amendments to Regulation NMS (the Amendments) that take several steps intended to narrow bid/ask spreads, reduce transaction costs for...more

Thomas Fox - Compliance Evangelist

The John Deere’s FCPA Case: A Throwback to Compliance Fundamentals

In the world of corporate compliance, some very basic compliance lessons seem destined to be repeated. This was certainly clear from the recently announced Securities and Exchange Commission (SEC) Foreign Corruption Practices...more

Wiley Rein LLP

The Legal Tightrope: Surviving Parallel Investigations

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Welcome to the Parallel Proceedings Podcast, hosted by Kevin Muhlendorf, a partner in Wiley’s White Collar & Government Investigations Practice who also leads the firm’s Securities Enforcement and Litigation Team. Kevin, a...more

Thomas Fox - Compliance Evangelist

Corruption Crime and Compliance: Nicolas Garcia, GC at Orica, on Compliance Trends and Challenges in Latin America

How can companies build trust and drive growth in a region as politically and economically volatile as Latin America? In this episode, Nicolas Garcia – Vice President, Legal, Regional and Compliance Manager for LATAM and...more

Thomas Fox - Compliance Evangelist

FCPA Compliance Report: Jon May Critiques The DOJ Whistleblower Financial Incentive Program

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this edition of the FCPA Compliance Report, Tom Fox welcomes back the well-known white collar defense practitioner and...more

Thomas Fox - Compliance Evangelist

FCPA Compliance Report: Jon May Critiques The DOJ Whistleblower Financial Incentive Program

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this edition of the FCPA Compliance Report, Tom Fox welcomes back the well-known white collar defense practitioner and...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Everything Old is New Again: The John Deere FCPA Enforcement Action

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

Thomas Fox - Compliance Evangelist

Daily Compliance News: September 23, 2024 – The That Old Time Religion Edition

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 to the Daily Compliance News. All...more

The Volkov Law Group

Episode 337 -- Nicolas Garcia, GC at Orica, on Compliance Trends and Challenges in Latin America

The Volkov Law Group on

How can companies build trust and drive growth in a region as politically and economically volatile as Latin America? In this episode, Nicolas Garcia - Vice President, Legal, Regional and Compliance Manager for LATAM and...more

Thomas Fox - Compliance Evangelist

Sunday Book Review: September 21, 2024, Books on Venice Edition

In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious. It could be books about business, compliance, history, leadership,...more

Mayer Brown Free Writings + Perspectives

SEC Charges Eleven Institutional Investment Managers with Reporting Failures

On September 17, 2024, the Securities and Exchange Commission announced cease-and-desist proceedings against eleven institutional investment managers for failure to file reports required by the Securities Exchange Act of...more

DLA Piper

Key Takeaways From the Fund Finance Association 2024 Global Leadership Summit

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The Pine Cliffs Resort hosted the FFA’s 2024 Global Leadership Summit this week where key players and leaders from across the industry gathered to discuss macroeconomic, geopolitical, policy, legal, regulatory and other...more

Mayer Brown Free Writings + Perspectives

Accelerated Schedule 13G Reporting Deadlines Effective September 30

The Securities and Exchange Commission’s accelerated Schedule 13G filing deadlines become effective September 30, 2024. On October 10, 2023, the SEC adopted changes to Schedules 13D and 13G relating to beneficial ownership...more

Thomas Fox - Compliance Evangelist

Megatrax Trailblazers Podcast: Episode 41 - Tom Fox (Voice of Compliance Podcast Network)

Tom Fox, the President and Founder of the prestigious Compliance Podcast Network and the Texas Hill Country Podcast Network, where Tom personally produces over 70 podcasts each week, is joining Trailblazers Podcast this...more

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