We have seen dramatic evolution across the gaming industry throughout 2025. There have been noteworthy legal and regulatory developments for lottery couriers, prediction markets, sweepstakes casinos, and sports betting...more
7/21/2025
/ Casinos ,
CFTC ,
Commodity Exchange Act (CEA) ,
Fantasy Sports ,
Gaming ,
iGaming ,
Lottery ,
New Legislation ,
Pending Litigation ,
Regulation ,
Regulatory Requirements ,
Sports Betting ,
Sweepstakes
Last week, the FCA published its long-awaited policy statement containing amendments to the FCA’s Code of Conduct (“COCON”) aimed at combatting non-financial misconduct (“NFM”). NFM can amount to a breach of FCA rules in any...more
7/9/2025
/ Banks ,
Bullying ,
Code of Conduct ,
Consultation ,
Corporate Misconduct ,
Employee Misconduct ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Policy Statement ,
Sexual Assault ,
Sexual Harassment ,
SMCR ,
UK ,
Workplace Bullying
The world of college sports enters historic new territory after Judge Claudia Wilken granted final approval to the $2.8 billion settlement of the federal class-action antitrust lawsuit House v. NCAA on June 6, 2025. Much ink...more
Over the first 100 days and beyond, the Trump Administration has deployed national security authorities in novel ways. Perhaps most notably, President Trump has asserted authority under the International Emergency Economic...more
5/14/2025
/ Administrative Procedure Act ,
Arbitrary and Capricious ,
Constitutional Challenges ,
Economic Sanctions ,
Executive Orders ,
Government Agencies ,
International Emergency Economic Powers Act (IEEPA) ,
National Security ,
Nonprofits ,
Office of Foreign Assets Control (OFAC) ,
Tariffs ,
Trump Administration ,
US Trade Policies
Make no mistake, nonfinancial misconduct remains at the top of the Financial Conduct Authority's agenda.
Originally published in Law360 - November 26, 2024....more
11/27/2024
/ Benchmarking ,
Board of Directors ,
Compliance ,
Corporate Culture ,
Corporate Misconduct ,
Data Collection ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Grievance Process ,
Illegal Drugs ,
Policies and Procedures ,
Risk Assessment ,
Surveys ,
Trade Associations ,
UK ,
Whistleblowers
#MeToo is on the eve of a new chapter in the United Kingdom. Non-financial misconduct has been high on both the regulatory and political agenda in 2024.
Originally published in www.compliancemonitor.com and www.i-law.com...more
#MeToo is still moving across the pond. On March 8, 2024, the House of Commons Treasury Committee published a report entitled “Sexism in the City” (referenced as “Report” in this article), which found that the...more
4/12/2024
/ Banking Sector ,
Diversity ,
Diversity and Inclusion Standards (D&I) ,
Employment Policies ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Pay Equity Laws ,
Pay Gap ,
Prudential Regulation Authority (PRA) ,
Sexual Harassment ,
UK
“The wholesale insurance market in particular has a long way to go in having an inclusive culture...areas for improvement include...preventing and handling non-financial misconduct,” stated the Financial Conduct Authority...more
Companies are responding in a myriad of ways to the US Supreme Court’s ruling in Dobbs v. Jackson Women’s Health Organization (Dobbs), including by expanding healthcare travel benefits to reduce barriers to accessing care in...more
10/4/2022
/ Abortion ,
Corporate Governance ,
Dobbs v. Jackson Women’s Health Organization ,
Employee Benefits ,
Environmental Social & Governance (ESG) ,
Hiring & Firing ,
Institutional Investors ,
No-Action Letters ,
Proxy Season ,
Reproductive Healthcare Issues ,
Roe v Wade ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Shareholders ,
Travel Expenses
It’s been an eventful week for the marijuana industry. After years of false starts, New York legalized the use of recreational marijuana on March 31 - just hours later, New Mexico legislators passed a bill to do the same....more
4/5/2021
/ Banking Sector ,
Canada ,
Coronavirus/COVID-19 ,
Decriminalization of Marijuana ,
Financial Institutions ,
Marijuana ,
Marijuana Related Businesses ,
Mexico ,
New Legislation ,
Recreational Use ,
SAFE Act ,
State and Local Government ,
Tax Revenues
On October 31, 2019, the US Department of Agriculture (USDA) released its long-awaited regulations governing hemp. Those regulations provide critical guidance to the hemp industry following the Agriculture Improvement Act of...more
11/15/2019
/ Agricultural Sector ,
Cannabidiol (CBD) oil ,
Cannabis-Related Businesses (CRBs) ,
Comment Period ,
Controlled Substances Act ,
DEA ,
Farm Bill ,
Hemp ,
Hemp Cultivation ,
Interim Rule ,
Interstate Commerce ,
Marijuana ,
Public Comment ,
Regulatory Oversight ,
USDA
The US House of Representatives recently passed the Secure and Fair Enforcement (SAFE) Banking Act, H.R. 1595 (the Act), which, if it becomes law, would have far-reaching implications for financial institutions considering...more
10/7/2019
/ Cannabidiol (CBD) oil ,
Controlled Substances Act ,
Criminal Proceeds ,
Depository Institutions ,
Dispensaries ,
Farm Bill ,
Financial Institutions ,
Financial Services Industry ,
Financial Transactions ,
Marijuana Related Businesses ,
Money Laundering ,
Pending Legislation ,
SAFE Act ,
Safe Harbors
The myriad—and conflicting—state, federal and international laws governing the burgeoning marijuana industry have created a complicated legal landscape for financial institutions. In the United States, most states have...more
2/8/2019
/ Anti-Money Laundering ,
Canada ,
Cannabidiol (CBD) oil ,
Cole Memorandum ,
Controlled Substances Act ,
Decriminalization of Marijuana ,
Farm Bill ,
Financial Institutions ,
FinCEN ,
Food and Drug Administration (FDA) ,
Hemp ,
Marijuana ,
Marijuana Related Businesses ,
Proceeds of Crime Act 2002 (POCA) ,
Regulatory Agenda ,
Risk Management ,
State and Local Government ,
Suspicious Activity Reports (SARs)