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Ratings Compliance

Goodwin

CFPB Revises Supervisory Appeals Process

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On February 16, 2024, the Consumer Financial Protection Bureau (CFPB or Bureau) announced that it is updating its internal supervisory appeals process for institutions seeking to appeal a compliance rating or an adverse...more

BakerHostetler

Top Ten List for Complying with the SEC's New Investment Adviser Marketing Rule

BakerHostetler on

The Marketing Rule seeks to address evolving changes in advertising and referral practices in the industry – particularly with respect to the use of the Internet, mobile applications, and social media – by providing an...more

UB Greensfelder LLP

The SEC’s New Marketing Rule: Bringing Investment Adviser Advertising From The “Mad Men” Era To The Amazon Age

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“The SEC score(s) one for the digital age.” These are the words of SEC Commissioner Heist, though, not my own. After a nearly year-long comment period, the SEC announced last week that it was replacing its former advertising...more

Butler Snow LLP

2019 Developments and Trends in the Foreign Corrupt Practices Act (FCPA) & Global Anti-Corruption Efforts, Part 3 of 3

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Previously we introduced you to the FCPA and provided updates about the positive international trends in anti-corruption legislation; efforts to punish and deter bribery; the Organization for Economic Cooperation and...more

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