Navigating the CFPB's Controversial Interpretive Rule on BNPL Products — The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: The Regulation of Negative Option Consumer Contracts – Silence as Consent
CFPB's Focus on Student Loan Servicing: Insights from the Office of Servicemember Affairs Report — The Consumer Finance Podcast
The Evolving Landscape of B2B Payments: Regulatory Trends and Financial Practices Explained — Payments Pros – The Payments Law Podcast
FTC and CFPB Focus on Medical, Rental Debt Collection Practices
The Consumer Financial Protection Bureau vs. the Video Game Industry
Exploring the CFPB's Stance on AI in Financial Services — The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: Regulators Escalate Focus on the Risks of Bank Relationships with Fintechs and Other Third Parties
Breaking Down Credit Reporting With Credit Builders Alliance — FCRA Focus Podcast
The Standard Formula Podcast | Insurers in Difficulty: Staying Compliant Under Solvency II
Consumer Finance Monitor Podcast Episode: The Demise of the Chevron Doctrine – Part II
The CFPB's Report on Negative Equity in Auto Lending — Crossover Episode With Moving the Metal Podcast — The Consumer Finance Podcast
Welcome Trevor Salter: A Deep Dive Into Financial Services Transactions — Payments Pros Podcast
Fintech Focus Podcast | Managing a Workforce in a Regulated Environment
Why Retailers and Merchants Should Pay Attention to the CFPB - The Consumer Finance Podcast
Consumer Finance Monitor Podcast Episode: The Demise of the Chevron Doctrine – Part I
Consumer Finance Monitor Podcast Episode: The Cantero Opinion: The Supreme Court Leaves National Bank Preemption in Limbo
Navigating Emerging Privacy Issues in Financial Services — The Consumer Finance Podcast
2024 State Legislative Review: Key Payment Laws and Their Impacts — Payments Pros – The Payments Law Podcast
CFPB Warns of Manipulation in Digital Comparison Shopping Tools
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
NAVEX Global partnered with an independent research firm to survey compliance professionals from the UK Financial Services industry about their approach to whistleblowing and incident reporting. Our findings provide insight...more
You know it is going to be a very bad day when, as a company’s Chief Executive Officer (CEO), you receive a letter asking the following, “Specifically, the committee should thoroughly examine this issue, including: How it is...more