Enhancing Card Partnerships and Compliance: A Conversation With Matthew Goldman — Payments Pros – The Payments Law Podcast
10 For 10: Top Compliance Stories For the Week Ending August 9, 2025
Daily Compliance News: August 6, 2025, The Spanking Banks Edition
Daily Compliance News: August 5, 2025, The Staying Focused Edition
Wild Times for the Community Reinvestment Act
Compliance Tip of the Day: Citibank and Continuous Monitoring
Wire Fraud Litigants Beware: Fourth Circuit Ruling Protects the Banks — The Consumer Finance Podcast
Top challenges with Compliance Management
The Capital Ratio Podcast | Entering the US Banking Market
2023 CRA Rule Repeal: Lessons to be Learned
10 For 10: Top Compliance Stories For the Week Ending June 14, 2025
10 For 10: Top Compliance Stories For the Week Ending June 7, 2025
Daily Compliance News: June 5, 2025, The Asset Cap Lifted Edition
Understanding MALPB Charters: A Collaborative Approach to Banking Innovation — Payments Pros – The Payments Law Podcast
Compliance and AI: Revolutionizing Risk Management with John Byrne
Podcast - Betty... embargaron Ecomoda
Fraud, the silent epidemic
Payments Medley: Navigating Trends in Payments With Jason Mikula - Payments Pros – The Payments Law Podcast
10 For 10: Top Compliance Stories For the Week Ending April 26, 2025
The Capital Ratio Podcast | Stablecoins: Regulatory Issues for UK and EU Banks To Consider
Our monthly regulatory newsletter monitors all relevant developments regarding European regulatory law in English language. ECB: Opinion on the supervisory independence of Lietuvos bankas and the prevention of conflicts of...more
The UK Financial Conduct Authority (FCA) published a new "Wholesale banks supervision" webpage which consolidates insights from the FCA's multi-firm and other supervisory work involving wholesale banks. The webpage covers a...more
The Knesset approved a series of legislative amendments this past July designed to promote competition in the money market – money market mutual funds, deposits and government bonds (short-term loans maturing in less than one...more
In the fast-paced world of middle market investment banking, efficiency is currency. Large investment banks representing sellers often enter into thousands of non-disclosure agreements (NDAs) every year. These agreements are...more
Join Ulmer partner Frances Floriano Goins as she shares an overview of the Securities and Exchange Commission's 2023 ammendments and rules regarding: - enhanced customer protection practices - disclosure of...more
On May 9, NYDFS Superintendent Adrienne A. Harris released proposed guidance for banking organizations and non-depository financial institutions chartered or licensed under the New York Banking Law concerning the Department’s...more
Recent high-profile banking and startup failures demonstrate the importance of pre-investment due diligence across the marketplace. Given the size and scope of many deals, and the resulting capital at stake, it is important...more
Federal Reserve Issues Policy Statement on Section 9(13) of the Federal Reserve Act - On January 27, the Federal Reserve issued a policy statement interpreting section 9(13) of the Federal Reserve Act, which authorizes...more
In This Issue: ..The Consumer Financial Protection Bureau (CFPB) published a Consumer Financial Protection Circular 2022-04 (Circular) in relation to safeguarding consumer data under the Consumer Financial Protection Act...more
For material risk takers (MRTs) and firms who may have grappled with remuneration restrictions when seeking public appointments, there is relief in sight. In a pragmatic move, the PRA is consulting on proposals to relax the...more
In This Issue. The Federal Deposit Insurance Corporation (FDIC) requested comments to draft principles for climate-related financial risk management; the U.S. Securities and Exchange Commission (SEC) published its 2022 exam...more
In This Issue. The House of Representatives voted to pass a Congressional Review Act resolution repealing the Office of the Comptroller of the Currency’s (OCC) “true lender” rule; the Consumer Financial Protection Bureau...more
In This Issue. The U.S. Supreme Court struck down the single director leadership structure of the Consumer Financial Protection Bureau (CFPB) in a ruling that could have far-reaching implications for the CFPB and other...more
Ron Betman and Heidi VonderHeide will discuss the state of the law two years after Kokesh v. S.E.C., SEC’s Enforcement’s focus on conflicts of interest disclosure, and Regulation Best Interest (Reg BI)....more
The Office of Inspector General for the Fed and CFPB has issued a report on the results of an evaluation it conducted to determine whether the CFPB effectively mitigates the risk of potential conflicts of interest associated...more
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. ...more
FINRA released its annual Regulatory and Examination Priorities Letter (so-called “Errico Letter”) on January 5. FINRA’s top five priorities: Among the also-rans, industry participants will recognize many perennial favorites,...more
Powerful new computational technology pioneered in e-commerce presents Chinese regulators with potential concerns and solutions to the perennial problem of information, pricing, and settlement capacity. Online payment...more
A second insider trading action was brought by the Commission against a senior banking official based on the same take-over for which he was previously charged — but a different securities trading account is at the center of...more
New FINRA Rule 2241 consolidates and expands upon legacy NASD and NYSE rules to address equity research analyst activities, equity research reports, and conflicts of interest relating to equity research analysts. New FINRA...more
Regulatory Developments: SEC Approves New Debt Research Rule and Amended Equity Research Rule - On July 16, the SEC approved FINRA Rule 2241, which modifies and clarifies existing rules related to research analysts,...more