Daily Compliance News: May 13, 2025, The Leaving on a Jet Plane Edition
Everything Compliance: Episode 153, The CW 25 Edition
Navigating the Future of Payment Stablecoins: Legislative Updates and Market Implications — The Crypto Exchange Podcast
Daily Compliance News: April 22, 2025, The Upping Your Game Edition
Daily Compliance News: April 9, 2025, The Corruption at the DOJ Edition
10 For 10: Top Compliance Stories For The Week Ending April 5, 2025
Daily Compliance News: April 4, 2025, The Tariffs on Penguins Edition
Daily Compliance News: April 3, 2025, The Tribute to Ice Edition
Great Women in Compliance: The Future of Enforcement with Jennifer Lee
Regulatory Ramblings: Episode 65 – The Trump Administration’s Decision to Halt FCPA Enforcement – The Implications for Asia and the World with Tom Fox, Malcolm Nance, and Philip Rohlik
Navigating 2025: The SEC's Evolving Role in Cryptocurrency Enforcement — The Crypto Exchange Podcast
The SEC's Reach Beyond Publicly Traded Companies
Everything Compliance: Episode 151, The What is Illegal DEI Edition
Everything Compliance, Shout Outs and Rants: Episode 151, The What is Illegal DEI Edition
Fintech Focus Podcast | Crypto 2.0: What’s Next in the US?
Episode 351 -- Deep Dive into the AAR FCPA Settlement
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public Offerings?
Episode 345 -- Raytheon Pays $950 Million to Resolve Fraud, FCPA, ITAR and False Claims Act Violations
Effective Compliance Training
A Conversation with SEC Commissioner Hester Peirce
To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week....more
February 27, 2025- The Division of Corporation Finance is providing its views on “meme coins” to provide greater clarity on the application of the federal securities laws to crypto assets....more
On December 17, U.S. House Financial Services Committee leaders warned the Biden administration’s agencies to refrain from making any additional “partisan” rulemaking over the several weeks remaining before the transition to...more
November 2, 2023- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Ensuring Financial Protection for Servicemembers, Veterans, and Their Families." November 2, 2023- The U.S....more
September 26, 2023- U.S. Department of the Treasury Counselor for Racial Equity Janis Bowdler at the 2023 U.S. Hispanic Chamber of Commerce National Conference. September 26, 2023- Federal Reserve Board Governor...more
August 23, 2023- The U.S. Senate Committee on Small Business and Entrepreneurship held a field hearing in Berlin, Maryland to address small business resiliency, which is the ability to bounce back after unexpected events....more
To help you keep abreast of relevant activities, below find a breakdown of some of the biggest events at the federal and state levels to impact the Consumer Finance Services industry this past week...more
July 27, 2023- The Board of Governors of the Federal Reserve System, Federal Deposit Insurance Corporation, and Office of the Comptroller of the Currency are requesting comment on a proposal to increase the strength and...more
June 21, 2023- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a nomination hearing on the following nominations: •The Honorable Philip Nathan Jefferson, of North Carolina, to be Vice Chairman of the...more
March 27, 2023- The Federal Deposit Insurance Corporation (FDIC) entered into a purchase and assumption agreement for all deposits and loans of Silicon Valley Bridge Bank, National Association, by First–Citizens Bank & Trust...more
January 30, 2023- The Federal Deposit Insurance Corporation (FDIC) announced a 45-day extension to the public comment period for proposed changes to its regulations relating to the FDIC's official sign, the FDIC's official...more
December 15, 2022- The New York State Department of Financial Services released Guidance to banking organizations regulated by the NYDFS that wish to engage in virtual currency-related activities....more
Hearing: Oversight of the U.S. Securities and Exchange Commission- September 15, 2022- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Oversight of the U.S. Securities and...more
Hearing: Current Issues in Insurance- September 8, 2022- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Current Issues in Insurance."...more
August 3, 2022- U.S. Senators Debbie Stabenow (D-MI), Chairwoman of the Senate Committee on Agriculture, Nutrition, and Forestry, and John Boozman (R-AR), Ranking Member, along with Senators Cory Booker (D-NJ) and John...more
August 2, 2022- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "'The Rent Eats First': How Renters and Communities are Impacted by Today's Housing Market."...more
July 27, 2022- Ahead of Thursday's U.S. Senate Banking Committee hearing on risks and scams in the cryptocurrency market, Ranking Member Pat Toomey (R-Pa.) sent a letter to the Securities and Exchange Commission on the...more
Federal Agencies- Securities and Exchange Commission- SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9-...more
Congress- U.S. House of Representatives- Committee on Small Business- Committee Announces June Hearings- May 27, 2022- The House Small Business Committee announced several committee hearings throughout June:...more
In addition to dramatically changing the policies of former President Trump on the pandemic, the economy, immigration, and other key issues, the Biden Administration is likely to substantially increase the federal...more
In the News. The Securities and Exchange Commission (SEC) adopted final rules to update and expand the statistical disclosures that bank and savings and loan registrants must provide to investors for the first time in 30...more
We start this issue with a feeling of déjà vu all over again. Decisions made during the mortgage crisis are back in the news with a powerhouse legal ruling and the Treasury’s initial thinking on how to turn back time. First,...more
In This Issue. The Federal Deposit Insurance Corporation (FDIC) and Office of the Comptroller of the Currency (OCC) approved an interagency final rule to simplify and tailor requirements relating to the Volcker Rule; the...more