Revisiting Financial Institution Incentive Compensation Rules Under Dodd-Frank — The Consumer Finance Podcast
The Mitchell Williams Insurance Regulatory team of attorneys recently attended the National Association of Insurance Commissioners (NAIC) Spring 2025 National Meeting which was held in Indianapolis, Indiana. We have prepared...more
In an era of increasingly sophisticated financial crimes and evolving regulatory, compliance, and internal audit needs, financial institutions must continuously refine their risk assessment strategies. Traditional methods,...more
The United States Equestrian Federation (“USEF”) is the national governing body for equestrian sports in the United States. USEF sets forth rules and regulations for its membership which includes owners, trainers, and amateur...more
The regulator found many examples of good practice, but also published further guidance and case studies to help firms address areas for improvement....more
The California Revised Uniform Limited Liability Company Act, Cal. Corp. Code § 17701.01 et seq., clearly authorizes the appointment of officers...more
This is Part 2 of a summary of Ward and Smith Certified AI Governance Professional and IP attorney Angela Doughty's comprehensive overview of the potential impacts of the use of Artificial Intelligence (AI) for in-house...more
On this episode of Culture & Compliance Chronicles, Nitish Upadhyaya from Ropes & Gray’s Insights Lab and Richard Bistrong of Front-Line Anti-Bribery, are joined by Tal Freilich, the vice president of group governance, risk...more
States continue to decode their expectations regarding insurers’ use of artificial intelligence (AI) systems. Since our last report, the following states have issued bulletins based on the National Association of Insurance...more
As we step into 2025, the legal tech landscape continues to evolve rapidly, shaped by advancements in artificial intelligence, shifts in communication tools, and an increasing focus on governance and compliance. Last year, we...more
A partir deste ano, companhias abertas listadas na B3, deverão reportar em seu Formulário de Referência (FRE) as medidas ambientais, sociais e de governança (ASG), conforme previsto no Anexo B – Medidas ASG do Regulamento de...more
The FCA’s focus, in the six years since #MeToo began, upon tackling ‘non-financial misconduct’ (broadly, poor interpersonal behaviour) in the financial services sector has sometimes been said to be a bit odd and/or not the...more
Associations invest considerable effort and expense to help assure a safe, welcoming and positive experience for all attendees. Just one disruptive, ill-mannered, offensive individual can significantly damage the experience...more
Ask any centralized cryptocurrency firm to name one of their biggest priorities or challenges—and then count the number of times they mention bank partnerships. For crypto firms, the loss of, or failure to acquire, a bank...more
In preparation for the upcoming 2025 proxy season, issuers should familiarize themselves with the updated Canadian proxy voting guidelines recently published by Institutional Shareholder Services Inc. (ISS) and Glass, Lewis &...more
Drawing on research, insights, and interactions with nom/gov committees and other board members, the KPMG Board Leadership Center highlights six issues for nom/gov committees to keep in mind as they consider their 2025...more
A prior DAO Jungle Chronicles post here covered a 2023 federal District Court opinion from California’s Southern District holding that a complaint adequately alleged a DAO (in that case, bZx DAO) could be sued as a general...more
A recent survey by Compliance Week revealed that nearly 70 percent of organizations use AI, but do not have adequate AI governance. This is shocking. But the most alarming part is that these organizations do not perceive that...more
Integrating artificial intelligence (AI) into legal practice presents valuable opportunities as the industry continues to evolve. AI has the potential to revolutionize workflows, enhance decision-making, and improve client...more
These days, artificial intelligence is everywhere we look, and the financial services industry is no different. As AI use increases, regulatory bodies are updating their rules and guidelines detailing how companies should and...more
The Spotlight strives to provide a forum to discuss the latest news and compelling issues impacting fiduciaries and those to whom fiduciaries owe duties. Whether you are an officer, director, trustee, beneficiary, trust...more
In all our work with clients, my evaluation and expectations around compliance readiness come down to one point: Governance. This can mean a variety of things when it comes to a compliance program, but overall, we boil it...more
The Climate Change Act, as endorsed by the President, is intended to enable the alignment of policies that influence South Africa’s climate change response to ensure that South Africa’s transition to a low-carbon and...more
The Individual Accountability Framework ("IAF"), introduced in December 2023 is one of the most significant regulatory developments in Ireland in recent years. The IAF seeks to promote sound governance, improved performance...more
The Georgia Senate Study Committee on Artificial Intelligence just released a detailed report outlining its findings and recommendations on the integration and regulation of AI technologies in the state. Given the likelihood...more
Artificial intelligence (AI) is rapidly transforming how businesses operate. From automating repetitive tasks to streamlining decision-making, AI has become a powerful tool for increasing efficiency and fostering innovation....more