News & Analysis as of

Risk Management Regulatory Requirements Enforcement Actions

Maynard Nexsen

When Firms Receive Written Notice of Outside Business Activities

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In the world of outside business activity (OBA) disclosure, many FINRA enforcement actions center on whether a registered person gave, or did not give, prior written notice of those activities to their member firm. These...more

Fenwick & West LLP

Bank-Fintech Partnerships Under Scrutiny: What Fintechs Need to Know About AML Expectations

Fenwick & West LLP on

Bank-fintech partnerships have transformed the financial services landscape, creating new opportunities and challenges for traditional banking institutions and innovative technology companies alike. In a typical arrangement,...more

Gardner Law

Staying Prepared Amid FDA Changes

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Despite recent staffing reductions and leadership transitions at the FDA, pharmaceutical and medical device manufacturers should not interpret these changes as a signal of reduced regulatory enforcement. On the contrary, the...more

Proskauer - Health Care Law Brief

CMS to Immediately Begin Auditing Medicare Advantage Plans in Significant Expansion of Enforcement Efforts

On May 21, 2025, the Centers for Medicare and Medicaid Services (“CMS”) announced a significant expansion of its auditing efforts with respect to Medicare Advantage (“MA”) plans....more

Bracewell LLP

Department of Energy Announces Initiative to Review the Agency's Federal Awards

Bracewell LLP on

On May 15, 2025, the Secretary of the Department of Energy (DOE), Chris Wright, issued a memo entitled “Secretarial Policy on Ensuring Responsibility for Financial Assistance” in which Secretary Wright announced DOE’s intent...more

Ropes & Gray LLP

Five Takeaways From the EU Commission’s AI Literacy Q&As

Ropes & Gray LLP on

Earlier this month, the European Commission released AI Literacy – Questions & Answers. The Q&As are a useful primer — both for organisations at the start of their literacy journey and those that, having taken steps to...more

DarrowEverett LLP

AI Meets TCPA: Navigating Business Compliance Risks in Phone Communications

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As artificial intelligence continues to transform business communications, companies will continue to face significant—and in some cases, increased—legal risks under the Telephone Consumer Protection Act (TCPA) when choosing...more

Ankura

Challenges in Data Sharing between Banking Partners

Ankura on

Life in the United States and most modern industrialized countries is driven primarily by data. Google alone processes 20 Petabytes of data every day (1 petabyte = 1 million gigabytes. Economies are built on data; marketing...more

Bricker Graydon LLP

Knock Knock, Who's There? OSHA Inspector!

Bricker Graydon LLP on

Effective January 2025, the Occupational Safety and Health Administration (OSHA) hiked the maximum fines for workplace safety violations. As an example, the maximum fine for a “serious” violation is now $16,550 per violation,...more

Roetzel & Andress

ADA Compliance for Medical and Dental Practices: Responding to Inquiries and Investigations

Roetzel & Andress on

Join us on the HealthLawHotSpot as host Ericka Adler and Michael Brohman, shareholder and member of Roetzel’s Employment Litigation Group, discuss ADA compliance for medical and dental practices. In this episode, you'll learn...more

K&L Gates LLP

NFA Proposes Guidance on Diligent Supervision of Associated Persons

K&L Gates LLP on

UPDATE: On 1 May 2025, NFA withdrew Interpretive Notice 9083. The guidance remains available on NFA’s website for industry participants’ review....more

Skadden, Arps, Slate, Meagher & Flom LLP

Cybersecurity Trends in the Digital Asset Space

After years of regulatory uncertainty, the Trump administration has signaled a new approach to digital assets, including by establishing a working group focused on digital assets and nominating crypto-friendly chairs to the...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: May 6, 2025 the Made in China 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 morning coffee, and listen to the Daily Compliance News. All from the...more

Jackson Lewis P.C.

Safety on Set: Navigating Compliance in the Entertainment Industry

Jackson Lewis P.C. on

For businesses operating across multiple states, the complexities of workplace safety compliance can be daunting, particularly when laws and standards may vary by location. This issue is especially impactful in the dynamic...more

Jackson Lewis P.C.

OSHA Extends Heat Hazard Program: Employers Should Act Before Summer Sets In

Jackson Lewis P.C. on

The Occupational Safety and Health Administration (OSHA) has extended its National Emphasis Program on Outdoor and Indoor Heat-Related Hazards (NEP) to April 8, 2026. The NEP was set to expire on April 8, 2025. This extension...more

Jones Day

EPA Announces List of Actions to Combat PFAS Contamination

Jones Day on

The U.S. Environmental Protection Agency's ("EPA") plan to address per- and polyfluoroalkyl substances ("PFAS") includes a long list of upcoming agency actions to deal with PFAS contamination....more

Akin Gump Strauss Hauer & Feld LLP

EPA Speaks on PFAS: What Manufacturers Need to Know

After addressing a number of other programs over the first 100 days of the new administration, on April 28, 2025, the Environmental Protection Agency (EPA) finally addressed PFAS. Administrator Lee Zeldin outlined a number of...more

American Conference Institute (ACI)

[Event] 2nd Annual Summit on PFAS Regulation, Compliance and Litigation - May 29th - 30th, New York, NY

The PFAS regulatory landscape is evolving fast, and with a new administration on the horizon, major changes in compliance, enforcement, and litigation risks could be imminent. If your business fails to stay ahead, you can...more

Morrison & Foerster LLP

CFTC Advisory Outlines Materiality Criteria for Enforcement Referrals

On April 17, 2025, three operating divisions (the “Operating Divisions”) of the U.S. Commodity Futures Trading Commission (“CFTC”) and the Division of Enforcement (“DOE”) provided guidance in CFTC Letter 25-13 (the...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: April 29, 2025, The GenZ/RTO 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 morning coffee, and listen to the Daily Compliance News. All, from the...more

Husch Blackwell LLP

CFTC Releases Criteria for Operating Divisions to Refer Violations to Enforcement Division

Husch Blackwell LLP on

On April 17, 2025, the Commodity Futures Trading Commission’s (CFTC) Market Participants Division (MPD), the Division of Clearing and Risk (DCR), and the Division of Market Oversight (DMO)—collectively the Operating...more

Katten Muchin Rosenman LLP

What the CFTC's Operating Divisions Will Consider When Making Enforcement Referrals

The three operating divisions of the CFTC (Division of Market Oversight, Market Participants Division, and the Division of Clearing and Risk, together the Operating Divisions) issued an advisory on April 17, explaining the...more

Davis Wright Tremaine LLP

CFTC Divisions Issue Staff Advisory on Referrals to Division of Enforcement

On April 17, 2025, the Market Participants Division, the Division of Clearing and Risk, and the Division of Market Oversight (collectively, the "Operating Divisions") of the CFTC, along with the Division of Enforcement...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Issues Advisory on Referrals to the Division of Enforcement

On April 17, 2025, three operating divisions of the Commodity Futures Trading Commission (CFTC) jointly issued an advisory to provide guidance on the materiality or other criteria they will use in deciding whether to make a...more

Epstein Becker & Green

Aligning Business Goals with Legal Strategies Amid Regulatory Change – Speaking of Litigation Video Podcast

Epstein Becker & Green on

When businesses face regulatory uncertainty, how can they effectively adapt, respond, and, if necessary, challenge government action? In this episode of Speaking of Litigation, Epstein Becker Green attorneys Mike Brodlieb,...more

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