Compliance into the Weeds: Changes in FCPA Enforcement
The LathamTECH Podcast — Where Digital Assets Slot Into a Shifting Fintech Regulatory Landscape: Insights From the US, UK, and EU
10 For 10: Top Compliance Stories For the Week Ending May 17, 2025
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?
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
In his first public address as Chairman of the U.S. Securities and Exchange Commission, Paul Atkins laid out his regulatory vision during the SEC Speaks conference on May 19, 2025....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
As commissioners continue to depart, the Commodity Futures Trading Commission (CFTC or Commission) may soon find itself in an unprecedented situation - operating with only one sitting commissioner. While the Commission has...more
A May 29, 2025, U.S. Securities and Exchange Commission ("SEC") Division of Corporation Finance statement explains that "Covered Crypto Assets"—crypto tokens without any inherent rights to passive income, business enterprise...more
Protocol Staking Under the Federal Securities Laws - Historically, the SEC has taken issue with certain staking activities under the federal securities laws. The SEC previously alleged that staking-as-a-service programs...more
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
Welcome to our third issue of 2025 of Decoded - our technology law insights e-newsletter. We hope you enjoy this issue and thank you for reading. SEC may Reverse Proposed Cryptocurrency Custody Rule and Ohio House...more
April 4, 2025 - The commissioner of the Department of Financial Protection and Innovation (DFPI) has proposed regulations to implement provisions of the Digital Financial Assets Law and amend the Money Transmission Act....more
A shift in leadership at the Securities and Exchange Commission often brings significant changes in regulatory priorities and enforcement approaches. As anticipated in our firm’s EO Watch alert, “Immediate Practical...more
Acting SEC Chair Uyeda spoke at the Institute of International Bankers’ (IIB) Annual Washington DC Conference on March 11, 2025, about the U.S. Treasury markets. Acting Chair Uyeda discussed the regulation of exchanges....more
The SEC currently has several notable rule proposals that have received public comment but have not yet been finalized. The potential direction of these proposals is likely to be influenced by the leadership of the new SEC...more
The incoming Trump administration will bring significant changes to regulatory policy as it relates to the asset management industry, and private funds, in particular...more
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
Last year, I wrote a commentary entitled Contagion. That commentary was inspired by the early days of the meltdown of the crypto currency market (long before SBF made the whole space way more notorious with a whiff of...more
Securities and Exchange Commission. Customer ID requirements. On May 13, 2024, SEC and FinCEN proposed a rule designed to make it more difficult for criminal actors to establish customer relationships with investment...more
In March of 2022, the SEC proposed rules to include “any market participant that engages in activities as describe in the rules [as] a ‘dealer’ or ‘government securities dealer[.]’”...more
On November 7, 2023, the Consumer Financial Protection Bureau ("CFPB") proposed a new rule, to be codified at 12 C.F.R. § 1090.109, that would bring general-use digital payment processors who process more than five million...more
On October 27, 2023, the Federal Trade Commission (the “FTC”) adopted a final rule (“Final Rule”) to amend the Standards for Safeguarding Customer Information (the “Safeguards Rule”). Among other things, the Final Rule will...more
On May 8, 12 states led by Arkansas Attorney General Tim Griffin sent a letter to the Securities and Exchange Commission (SEC), opposing its recently proposed rule to give the commission the authority to regulate...more
A group of twelve Republican AGs wrote a comment to the SEC opposing a proposed rule that would expand the Commission’s authority by allowing it to regulate cryptocurrencies. In the comment, the AGs argue that the SEC lacks...more
The 2023 Securities Industry and Financial Markets Association’s (SIFMA) Compliance & Legal Annual Seminar, as usual, was well attended by compliance and legal professionals, including FINRA executives and SEC directors. The...more