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
Creativity and Compliance: Innovating Ethics - Creativity in Corporate Compliance with Katie Lawler
The Regulatory Situation After the Trump Executive Orders Regulatory Freeze Pending Review
The Chancellor of the Exchequer has delivered her second Mansion House speech and announced the “Leeds Reforms” in conjunction with publication of the awaited Financial Services Growth and Competitiveness Strategy and related...more
The UK Government has published a policy paper outlining its industrial strategy. The strategy centres around eight priority sectors (the IS-8), including financial services. The UK government's ambition is to establish the...more
As America turns inwards, investors are turning east, towards Europe. It’s a seismic shift not seen since the end of WWII. In this episode, we talk with Symon Drake-Brockman, co-founder and Managing Partner of Pemberton Asset...more
LEVEL-SETTING - The banking industry finds itself in the early stages of a transformation. Existing balance sheets have been shaped by more than a decade of low interest rates that fueled asset appreciation, muted...more
HM Treasury has announced that the Chancellor will increase engagement with financial services leaders to strengthen plans to grow the economy. Over the coming months, the Chancellor plans to host a series of Industry Forums...more
Executive Summary - Last month, the Federal Deposit Insurance Corporation (FDIC) Board of Directors (FDIC Board) proposed an amendment to its regulations under the Change in Bank Control Act of 1978 (CBCA). Driven by the...more
The board of directors of the Federal Deposit Insurance Corporation (“FDIC”) recently proposed a rule change that would reassert its now-dormant authority to review changes in bank control involving bank holding companies....more
As the year draws to a close, we welcome Peter Renton to the RegFi podcast for a conversation about fintech trends from 2023 and what to anticipate moving ahead. Peter is the chairman and co-founder of Fintech Nexus and has...more
On 22 May 2023, the FCA published a consultation paper (CP23/12) on the second phase of expanding the Dormant Assets Scheme. The Dormant Assets Scheme was initially set up to allow banks and building societies to pay dormant...more
On Friday 28 April 2023, the Board of Governors of the Federal Reserve System (the FRB) and the Federal Deposit Insurance Corporation (the FDIC) each released a report regarding a recent bank failure. The FRB report covered...more
Welcome to the latest edition of the Spectrum, covering hot-topic issues in the structured finance markets in the U.S. and UK. This edition features a new year for a new UCC Article 12, a farewell to LIBOR, and an appraisal...more
Last month, I attended the 28th Annual Factoring Conference presented by the International Factoring Association (IFA) in Boston. This is the world's largest conference of its kind, dedicated solely to banks, lenders,...more
On August 27, 2021 the Board of Governors of the Federal Reserve System, Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency released guidance on Conducting Due Diligence on Financial...more
Institutional investors and regulators across the globe are increasingly focusing on environmental, social and governance (ESG) issues in terms of investment portfolio composition, corporate best practices and corporate...more
Wir setzen unsere erfolgreiche Online-Seminarreihe fort und widmen uns erneut dem wichtigen Thema ESG. Am 10.06.21 ist die Offenlegungsverordnung seit drei Monaten in Kraft. Das (teilweise) Inkrafttreten der...more
We are continuing our successful online seminar series and are once again devoting ourselves to the important topic of ESG. On June 10th, the Disclosure Ordinance has been in force for three months. The (partial) entry into...more
The Trade and Cooperation Agreement (TCA) does not provide a comprehensive free trade arrangement for financial services between the EU and the UK. In particular, the TCA contains no measures to offset the loss of the EU-wide...more
Letter from Our Co-Chairs - As the digital transformation of financial markets accelerates at breakneck speeds, fintech presents significant opportunities and challenges for both investors and innovators around the world. ...more
The five U.S. federal regulatory agencies responsible for implementing the Volcker rule — the Board of Governors of the Federal Reserve System (Federal Reserve), the Office of the Comptroller of the Currency (OCC), the...more
Regulators are increasing pressure on financial institutions to demonstrate that they are proactively addressing the transition away from the London Interbank Offered Rate (LIBOR). The New York State Department of Financial...more
The U.K. Financial Conduct Authority has published the findings of its review into the implementation of the Senior Managers and Certification Regime for the banking sector. The SM&CR came into force for banking firms in...more
The expanded Senior Managers and Certification Regime (SM&CR), which comes into force on December 9, 2019, extends the framework regulating individuals charged with running certain financial institutions. The Banking SM&CR,...more
In the 2018 edition of this publication, we ended the introduction with the line, “We can only hope that we will enter 2019 with greater certainty than 2018 as to how the regulatory landscape will look.” Unfortunately,...more
Kazakhstan has sought to position itself as the “Dubai of Central Asia” since the advent of the so-called “Dubai model” over a decade ago, with its capital Astana figuring as a global financial hub connecting Western Europe...more
In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more