Regulatory Ramblings: Episode 76 - The Digital Future: The US GENIUS Act and Hong Kong Stablecoins Ordinance / The Hong Kong Web3 Blueprint: Building a Web 3 International Financial Hub Report
Compliance Tip of the Day: Citibank and Continuous Monitoring
Compliance into the Weeds: Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers
Episode 377 -- Refocusing Due Diligence on Cartels and TCOs
Upping Your Game: Continuous Monitoring with AI
Daily Compliance News: May 19, 2025, The Definition of Corruption Edition
2 Gurus Talk Compliance: Episode 51 – The Compliance Week at 20 Edition
Navigating the Future of Payment Stablecoins: Legislative Updates and Market Implications — The Crypto Exchange Podcast
10 For 10: Top Compliance Stories For the Week Ending April 12, 2025
Daily Compliance News: April 7, 2025, The Whistleblowers Awarded Edition
Strengthening Compliance: Lessons From the OCC's Consent Order With Patriot Bank — Payments Pros – The Payments Law Podcast
Great Women in Compliance: Roundtable on The Future of Financial Crime Prevention
The Presumption of Innocence Podcast: Episode 50 - Hidden in Plain Sight: How Kleptocrats Exploit U.S. Financial Systems
Corruption, Crime & Compliance: TD Bank Agrees to Pay Over $3 Billion for Systemic Violations of Bank Secrecy Act and Money Laundering Violations
Episode 343 -- TD Bank Agrees to Pay Over $3 Billion for Systemic Violations of Bank Secrecy Act and Money Laundering Violations
The Consumer Financial Protection Bureau vs. the Video Game Industry
Business Better Podcast Episode: FinCEN’s Notice of Proposed Regulations to Strengthen and Modernize AML/CFT Compliance Programs
Cannabis Law Now Podcast: Cannabis Companies and the Corporate Transparency Act
Examining FinCEN FAQs, Proposed Legislation and Other CTA Developments
Practical Lessons Learned Regarding the Bank Secrecy Act and Anti-Money Laundering for Financial Institutions - The Consumer Finance Podcast
The Insolvency Service (IS) has set out a bold five-year vision to become the UK's lead enforcement body for corporate and insolvency standards in its investigation and enforcement strategy paper for the period 2026–2031,...more
Introduction - Financial fraud represents a persistent threat to economic stability, undermining trust among businesses, investors, and the general public. As India’s financial ecosystem expands and transactions become...more
The establishment of the European Anti-Money Laundering Authority (“AMLA”) represents a decisive development in the EU's regulatory framework. AMLA aims to unify and strengthen anti-money laundering (“AML”) and...more
The tension among regulators between the push for increased transparency and the need to protect individual privacy is always apparent in asset searching exercises. This tension is a global phenomenon, central to the ongoing...more
In Belgium we have seen a rise in prosecutions of environmental issues, inappropriate behaviour at work, social fraud, social dumping (where companies employ cheaper labour from other countries to undercut local wages), and...more
New bribery offenses in Australia now make it easier for authorities to prosecute organizations and require companies to exercise greater oversight and controls. Australia’s regulators remain active in greenwashing and other...more
The UAE has continued to implement significant legislative and structural reforms during 2024 in areas including financial crime compliance, whistleblowing, and virtual assets regulation. These improvements demonstrate the...more
Crypto assets are some of the most rapidly evolving and increasingly adopted assets in the world. Decentralized Finance (DeFi) is emerging as a blockchain-based alternative to traditional banking and financial services and...more
Forensic services in Spain are robust, but still have room for growth compared to other markets, especially with respect to the market in the United Kingdom. Growth in the legal marketplace will come through the proliferation...more
On 26 October 2023, the Economic Crime and Corporate Transparency Act 2023 (the Act) became law in the UK. The Act represents a major overhaul of the UK government’s framework for tackling financial crime and has brought into...more
The Environment Agency has launched a new Economic Crime Unit to enhance its fight against financial crimes in the waste management sector. This move aims to bolster the agency's capabilities in conducting financial...more
The Department of Justice recently announced settlements with two casinos to resolve an investigation into alleged money laundering and violations of the Bank Secrecy Act (BSA). The settlements required the casinos to pay a...more
German authorities have intensified and accelerated their enforcement activities in 2023, following a slowdown of both investigations and court proceedings during the pandemic. This had led to a surge of dawn-raids in...more
Within the trade bar there is cautiousness, curiosity and skepticism at the numerous pronouncements signaling greater enforcement of export controls and sanctions by the Bureau of Industry and Security, the Office of Foreign...more
The past few months have seen numerous high-profile enforcement actions highlighting an increasing trend, what Deputy Attorney General Lisa Monaco called “the biggest shift in corporate criminal enforcement that I’ve seen...more
The Jersey Financial Services Commission ("JFSC") recently announced that its first area of focus for its 2024 thematic examination programme will be politically exposed persons ("PEPs") (the "Examination"). The Examination...more
Last month, the Commodity Futures Trading Commission (CFTC) announced settled charges against three decentralized finance (DeFi) protocols for various registration and related violations under the Commodity Exchange Act (CEA)...more
The FCA released its 2022/23 Annual Report last week together with data on its key enforcement trends. We consider below some of the key takeaways....more
To paraphrase what Ben Franklin may have been alluding to nearly 300 years ago in his famous quote, often the best approach when it comes to reducing the risk of litigation and government enforcement proceedings is to take...more
Regulated gaming is booming in the United States. This is particularly true of newer forms of gambling, such as skill games, fantasy sports, and social casino games played on the internet and mobile applications. In fact,...more
Chartered accountants are accustomed to continuous oversight of their work by regulators. While regulatory supervision can often be a collaborative process, it does sometimes culminate in individual accountants and firms...more
On January 17, 2023, the U.S. Department of Justice (DOJ) announced revisions to the Criminal Division’s Corporate Enforcement Policy. The revisions follow Deputy Attorney General (DAG) Lisa Monaco’s September 2022...more
In this episode of The Crypto Exchange, Troutman Pepper attorney Carlin McCrory welcomes Disputes, Compliance and Investigations Managing Director Terri Sands from Stout to discuss the risks and regulatory scrutiny that...more
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
Following Germany's initial attempt last year to implement the EU Whistleblower Directive (Directive (EU) 2019/1937), aimed at ensuring harmonized and improved protection of whistleblowers throughout Europe, the Federal...more