Daily Compliance News: December 20, 2024 – The First Post-Wirecard Client Edition
Classroom Insiders, Season 2 – A Deep Dive into Panuwat and Shadow Insider Trading
2 Gurus Talk Compliance: Episode 42 – The Holiday Edition
Regulatory Ramblings: Episode 60 - The Evolution of Fintech: Asia, The US and the Implications for Inclusion with Theodora Lau
Regulatory Ramblings: Episode 57 - A Path to Financial Inclusion Through Technology with Eelee Lua
Regulatory Ramblings: Episode 58 - The AI-fication of Jobs with Huy Nguyen Trieu
Regulatory Ramblings: Episode 59 - Four Decades Fighting Human Trafficking and Modern Slavery – A Diplomat Reflects with Matt Friedman
Consumer Finance Monitor Podcast: Banks Aren’t Over-Regulated, They Are Over-Supervised
Uncovering Disparities: The CFPB's Small Business Lending Study – The Consumer Finance Podcast
Daily Compliance News: December 19, 2024 - The Prison Labor Edition
AdvisorEsq Podcast Series - Episode 10 - Planning Ahead: The Valuation Equation
TechLaw10: Online Fraud & How to Stop It
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What is a Private Offering?
Post-Election Analysis and Its Impact on the Debt Settlement Industry
"Monsters Inc." y la reorganización empresarial
Compliance into the Weeds: NRA Governance Reforms: A Compliance Case Study
The Hill Country Podcast: Behind the Scenes at Kerrville Daily Times with John Wells
Great Women in Compliance – Holiday GWIC-tacular
Daily Compliance News: December 18, 2024 – The Turn Your Knife on Yourself Edition
2024 Privacy Trends and Their Impact on Auto Finance – Moving the Metal: The Auto Finance Podcast
The latest edition of the Payments Docket, our roundup of key litigation and enforcement involving the payments industry, features why the CFPB’s open banking rule is under fire, a convenience fee that steals your lunch...more
Last week the Supreme Court granted permission to appeal the Court of Appeal's decision in a case examining the permissibility of motor finance commission payments, which challenged traditional legal thinking relating to...more
The Basel Committee on Banking Supervision has published the final version of its guidelines for counterparty credit risk management, replacing its "Sound Practices for Banks' Interactions with Highly Leveraged Institutions"...more
As discussed in our prior blog post, on December 3, 2024, the U.S. District Court for the Eastern District of Texas (“District Court”) issued an order preliminarily enjoining enforcement of the Corporate Transparency Act and...more
On September 27, 2024, the US Securities and Exchange Commission (SEC) adopted amendments to Rules 10 and 11 of Regulation S-T, Form ID, and the EDGAR Filer Manual, all of which will change the way filers access and manage...more
Whistleblower programs are the gifts that keep giving to enforcement agencies, driving a record number of cases, sanctions and awards across multiple agencies. In this ninth installment of Season's Readings, we revisit some...more
The FinmadiG introduces material implementation measures for the European Digital Finance Package....more
On December 3, 2024, the U.S. District Court for the Eastern District of Texas issued a nationwide preliminary injunction in favor of the plaintiffs in the case of Texas Top Cop Shop, Inc. et al. vs. Garland (U.S. Attorney...more
The European Banking Authority has published a letter from the European Commission (dated December 6, 2024) to the EBA and the European Securities and Markets Authority regarding the interplay between Markets in Crypto Assets...more
The Financial Stability Board has published a final report on liquidity preparedness for margin and collateral calls. The report sets out policy recommendations to enhance the liquidity preparedness of non-bank market...more
The House of Commons Treasury Committee has published letters from HM Treasury, the Prudential Regulation Authority and the Financial Conduct Authority setting out progress made to date in relation to the Committee's "Sexism...more
With Bitcoin hitting record highs and breaking a barrier long seen as aspirational, and with a new administration making key appointments, the year is ending with much excitement and momentum for the digital assets industry....more
The Digital Operational Resilience Act 2022/2554 (DORA) is a European regulation that will come into force on January 17, 2025. The regulation aims to strengthen the digital operational resilience of the financial sector...more
On 13 December 2024, the FCA and the PRA published linked Consultation Papers on operational incident and third-party reporting (FCA CP24/28 and PRA CP17/24). The consultations aim to create a structured framework for...more
In 2010, the so-called “Flash Crash” of the U.S. stock market brought the overlooked practice of high-frequency trading into the spotlight for the first time. Initial efforts to study and curtail the practice, including a...more
Cyber, Privacy, and Technology Report - Welcome to your monthly rundown of all things cyber, privacy, and technology, where we highlight all the happenings you may have missed....more
The Consumer Financial Protection Bureau (CFPB) recently finalized its “Overdraft Lending: Very Large Financial Institutions Rule,” introducing sweeping changes to how overdraft credit is structured and regulated for the...more
In issuing the Advisory, the CFTC recognizes the potential for AI to transform the U.S. financial markets. However, given how far-reaching AI’s impact may be, the CFTC simultaneously cautions CFTC-regulated entities to be...more
Dorsey’s 2025 Private Funds Compliance Calendar addresses certain key regulatory obligations that apply to private funds and private fund advisers....more
On 14 November 2024, Chancellor of the Exchequer Rachel Reeves announced the launch of a three-month consultation on the regulatory regime for UK-domiciled captives. The consultation seeks a broad range of market feedback on...more
December 19, 2024- The U.S. Department of the Treasury released a report following the issuance of its 2024 Request for Information on the Uses, Opportunities, and Risks of Artificial Intelligence in Financial Services,...more
The Securities and Exchange Commission (SEC) has granted a partial stay of the amendments to Rules 610 and 612 of Regulation NMS. The SEC’s December 12 order came in response to a motion filed by Nasdaq and Cboe, among...more
The CFPB adopted a final rule providing for increased oversight of certain companies offering consumer payment products like mobile apps and digital wallets. Continuing to lean into its plans to expand its authority to...more
On December 12, the CFPB issued a final rule, restricting the amount that certain financial institutions can charge for their overdraft service. As previously covered by InfoBytes, historically, the Fed exempted banks from...more
If U.S. congressional leaders are unable to pass legislation for continued government funding, it is expected that much of the federal government, including the U.S. Securities and Exchange Commission (SEC), would shut down...more