10 For 10: Top Compliance Stories For the Week Ending April 26, 2025
Consumer Finance Monitor Podcast Episode: Private Civil Consumer Financial Services Litigation to Partially Fill CFPB Void - Part 1
Navigating the Future of Payment Stablecoins: Legislative Updates and Market Implications — The Crypto Exchange Podcast
Innovation in Compliance: Strategic Compliance in Regulated Industries with Kerri Reuter
Unlocking the Secrets of Reverse Mortgages — The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: Everything You Want to Know About the CFPB as Things Stand Today, and Lots More - Part 2
Daily Compliance News: April 16, 2025, The Fired by AI Edition
The FinReg Frontier: AI and Machine Learning in Consumer Finance — The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: Everything You Want to Know About the CFPB as Things Stand Today, and Lots More - Part 1
Dialing In: The TCPA and Auto Finance — Moving the Metal: The Auto Finance Podcast
Debt and Lending Markets: Current Trends Impacting Private Equity Sponsors — PE Pathways Podcast
Innovations in Compliance: Data Collection & Cybersecurity with ModeOne’s Matt Rasmussen and Ryan Frye
Fintech Focus Podcast | Responding to a Cyber Attack – Key Considerations for GCs and CISOs
Daily Compliance News: April 4, 2025, The Tariffs on Penguins Edition
New York's Bold Move to Create a Mini CFPB — The Consumer Finance Podcast
Great Women in Compliance: Roundtable on The Future of Financial Crime Prevention
Consumer Finance Monitor Podcast Episode: A Debate About The Need, If Any, For a Federal Charter for Non-Banks Engaged in the Payments Business
Early Days of the Trump Administration: Impact on the CFPB — The Consumer Finance Podcast
The Future of Auto Dealership Compliance: A Conversation With Tom Kline — Regulatory Oversight Podcast
Through the Crystal Ball: What's Next for Auto Finance — Moving the Metal: The Auto Finance Podcast
Today’s interconnected world presents significant challenges for managing cross-border e-discovery and data breach investigations. These processes—critical for legal proceedings and cybersecurity—are often complicated by...more
As the governing body for Certified Public Accountants ("CPAs"), the Board upholds rigorous standards of practice, oversees the licensing process, and enforces compliance with ethical rules and regulations. For both aspiring...more
Financial experts are engaged to perform forensic accounting and valuation services for a number of reasons. Forensic accounting services are most often performed as part of a litigation or investigation. Valuation services...more
The SEC has charged a financial firm and its leaders for making false claims about using artificial intelligence (AI) in their automated trading process. This case highlights the critical need for transparency in an...more
The Bank of England considers the latest wave of AI developments to be a “step change” for financial modelling that brings substantial opportunities as well as risks. AI governance is a developing field and financial...more
As artificial intelligence (AI) continues to advance rapidly, organizations of all types are seeking to deploy this powerful tool to increase the effectiveness and efficiency of their operations, improve service to their...more
Washington D.C., April 3, 2024, the SEC announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications, as...more
In this article, we share a timeline of our monthly "bites" for 2023 applicable to consumers protected by nondiscrimination and military protection laws....more
The Fortieth Cambridge International Symposium on Economic Crime, held recently, was entirely focused on “Integrity”. This highlights the importance of integrity in organisational life (as well as in our private lives)....more
The Ontario Securities Commission (“OSC”) recently published OSC Staff Notice 52-724 Considerations for Public Accounting Firms in Developing Internal Ethics Policies and Procedures (the “Notice”). The Notice summarizes...more
AT: Before we get into the heart of the interview, I want to make a quick detour into your background. You spent most of your career in the financial services arena, working at UBS, Deutsche Bank, and the United Kingdom...more
On May 16, 2023, the Certified Financial Planner Board of Standards, Inc. (the “CFP Board”) adopted revised Procedural Rules addressing procedures for investigating alleged misconduct and enforcing the CFP Board’s Code of...more
We were delighted to interview Kevin Parle – Fellow of the International Compliance Association (ICA) and Deputy Chair of the Data Protection Forum – for insights and observations of whistleblowing roles within U.K....more
Regulatory Developments - CFPB Announces Supervision of Nonbanks and Seeks Comment on Risk-Determination Procedures - On April 25, the CFPB announced its intention to supervise nonbanks, including fintechs, whose...more
President-Elect Biden won a mandate to bring normalcy back to government and to seek bipartisan compromise where possible. The makeup of the U.S. Senate may limit the Biden Administration’s ability to deliver its most...more
Investigations & White Collar Defense - Amendment to Whistleblower Protection Act - On June 8, 2020, the Japanese Diet passed a bill to amend the Whistleblower Protection Act ("Act"). The bill was introduced amid a...more
Compliance Today (January 2020) - On November 18, 2019, MIT Sloan School of Management announced in a press release, “Evidence points towards yes, according to new research that offers the first large sample study on how...more
The U.K. Financial Conduct Authority has launched a consultation on its proposed guidance on how financial services firms should treat "vulnerable" consumers. The consultation will be divided into two stages: the first stage...more
Following extensive consultations, the European Commission’s High-Level Expert Group on AI released ethics guidelines on the use of artificial intelligence. Three broad principles emerged from those guidelines, suggesting...more
Just how many counts of fraud attacks occurred in the first quarter of 2018? These results from ThreatMetrix uncovered some alarmingly high numbers, including...more
The Indonesian FinTech Association (Aftech) recently published a code of conduct providing guidance on ethical and responsible behavior (the code) for peer-to-peer financial technology (fintech) lending platforms that are...more
New FCA Discussion Paper demonstrates how the regulator’s thinking in relation to culture has evolved. Introduction - In Discussion Paper (DP) 18/2, the FCA has taken an unusual approach to a topic that has received...more
I’m a big fan of artificial intelligence. The older I get, the more I appreciate that real intelligence needs all the help it can get. Corporate ethics and compliance officers, however, need to pause before betting big on AI...more
OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more
I recently read an article in the MIT Sloan Management Review, entitled “How Blockchain Will Change Organizations”, where authors Don Tapscott and Alex Tapscott speculate that the transformations which blockchain may...more