While there was some—albeit limited—Enforcement activity in May (click here for last month’s enforcement actions), in this month’s Round-Up we want to highlight some updates that suggest the Enforcement front may continue to...more
On April 17, 2025, as previewed in the Division of Enforcement’s (“DoE”) February 25, 2025, “Advisory on Self-Reporting, Cooperation, and Remediation”, the Staff of the Market Participants Division (“MPD”) laid the remaining...more
So, we’ll start off with our familiar and cherished Enforcement Roundup, touch on emergency funding for the CFTC’s Whistleblower Program, talk about the CFTC’s advisory on artificial intelligence, get you ready for updates to...more
1/6/2025
/ Artificial Intelligence ,
Bots ,
CFTC ,
Commercial Litigation ,
Corporate Governance ,
Enforcement Actions ,
Financial Services Industry ,
Government Shutdown ,
Machine Learning ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Technology Sector ,
Tokenization ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
Artificial Intelligence (“AI”) is everywhere you look right now. AI is a lot of things, but for most of the market it is simultaneously a buzzword for innovation and efficiency, and a bogeyman for fraud and privacy concerns....more
12/17/2024
/ Artificial Intelligence ,
Capital Markets ,
CFTC ,
Commodities ,
Commodity Exchange Act (CEA) ,
Financial Services Industry ,
Innovative Technology ,
Machine Learning ,
Regulatory Agenda ,
Regulatory Requirements ,
Risk Assessment ,
Risk Management ,
Technology Sector
On June 28, the CFBP released a set of FAQ’s on the CFPB’s recently finalized Small Business Lending Rule (“Section 1071”). There are twenty-one questions covering matters under “Institutional Coverage” and “Covered Credit...more
In December 2021, the Bureau of Consumer Financial Protection (or the “CFPB”) issued a notice and request for comment (the “Notice”) on its intention to make a preemption determination regarding the Truth in Lending Act...more
For those tracking developments impacting the crypto-asset space, the summer has been far from slow and leisurely. Multiple industry alerts flow daily with news of new legislative proposals, enforcement actions, and other...more