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New Regulations Compliance Reporting Requirements

Venable LLP

California DFPI's New Requirements for Debt Settlement, Education Finance, and Wage Access Providers

Venable LLP on

The California Department of Financial Protection and Innovation (DFPI) has implemented new registration requirements under the California Consumer Financial Protection Law (CCFPL), effective February 2025. ...more

Holland & Knight LLP

New Guidance Issued on Financial Value Transparency and Gainful Employment Regulations

Holland & Knight LLP on

The U.S. Department of Education (Department) released an important update and reminder regarding new Financial Value Transparency (FVT) and Gainful Employment (GE) regulations that take effect on July 1, 2024. The...more

Holtzman Vogel Baran Torchinsky & Josefiak

In-Compliance Newsletter: March 2024 Round-up

On March 15, 2024, the Supreme Court issued a unanimous opinion in Lindke v. Freed and a per curiam opinion in O’Connor-Ratcliff v. Garnier addressing when a public official may prevent a person from commenting on the public...more

J.S. Held

Crosscurrents—European Union Fails to Pass Corporate Sustainability Due Diligence Directive & SEC Bails on Scope 3 Requirements

J.S. Held on

Introduction - With the adoption by 196 parties of the Paris Agreement in December 2015, legally binding international climate change arrived. The Paris Agreement requires increasingly aggressive five-year cycles climate...more

NAVEX

Understanding the Updates and Implications of the EU Corporate Sustainability Due Diligence Directive

NAVEX on

On February 23, 2022, the European Commission released a proposal for the Corporate Sustainability Due Diligence Directive (CSDDD or the Directive). The Directive aims to mandate both EU and non-EU companies that conduct...more

Reveal

How to Conduct Compliance Risk Assessment Efficiently (+Compliance Risk Assessment Template)

Reveal on

Is your business in compliance with every law, rule, and regulation that it should be? If you can’t confidently say yes, it’s time for a compliance risk assessment. And even if you could confidently say yes six months ago,...more

Society of Corporate Compliance and Ethics...

[Virtual Event] 2022 Higher Education Compliance Conference - November 8th, 8:25 am - 4:30 pm CST

ADDED BY POPULAR DEMAND: Virtual Conference for Higher Education Compliance - Attend SCCE’s virtual Higher Education Compliance Conference, November 8, 2022, and hear from experienced professionals on a range of higher...more

Society of Corporate Compliance and Ethics...

Compliance Perspectives: Compliance Challenges in India

It’s a very busy time for compliance professionals overseeing businesses operating in India, reports Arpinder Singh, India & Emerging Markets Leader at EY Forensic & Integrity Services. There are a dizzying number of new...more

Patterson Belknap Webb & Tyler LLP

FinCEN Issues Advisory on the Reporting of Cyber-Events and Cyber-Enabled Crimes

The Financial Crimes Enforcement Network, or FinCEN, an arm of the United States Department of the Treasury, issued an advisory last week to remind financial institutions of their obligations to report cyber-events on...more

Orrick - Finance 20/20

EBA Revises Implementing Technical Standards on Supervisory Reporting

Orrick - Finance 20/20 on

On September 10, 2015, the European Banking Authority (EBA) issued a revised list of validation rules in its implementing technical standards on supervisory reporting under the Capital Requirements Regulation (Regulation...more

Broker-Dealer Compliance + Regulation

SEC Delays Effectiveness of Large Trader Reporting for Some Broker-Dealers

The SEC’s “large trader” rules that apply to clearing firms and certain other firms will kick in this November. Thanks to a recent SEC release, some firms are getting a two-year compliance reprieve, but they must develop the...more

Katten Muchin Rosenman LLP

FINRA Issues FAQs Regarding TRACE Reporting

The Financial Industry Regulatory Authority has issued a trade reporting notice that addresses several issues in connection with reporting transactions to the Trade Reporting and Compliance Engine (TRACE) system involving...more

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