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Compliance Management Systems Financial Institutions Financial Services Industry

Troutman Pepper Locke

Enhancing Card Partnerships and Compliance: A Conversation With Matthew Goldman — Payments Pros – The Payments Law Podcast

Troutman Pepper Locke on

In this episode of Payments Pros, Carlin McCrory is joined by Matthew Goldman, founder of Totavi, LLC and publisher of CardsFTW, to discuss operational compliance for card issuers. Their conversation highlights essential...more

Husch Blackwell LLP

Deadline Ahead: NYDFS Compliance Notifications are due by April 15

Husch Blackwell LLP on

Businesses that are subject to the NYDFS Cybersecurity Regulations have four weeks left to submit their annual notices of compliance or acknowledge their noncompliance. When the regulations were amended in 2023, several of...more

Cadwalader, Wickersham & Taft LLP

OCC Issues Its Semiannual Risk Perspective

The Office of the Comptroller of the Currency (“OCC”) issued its Semiannual Risk Perspective for Spring 2022 on June 23. This was the same day the Federal Reserve released the results of its stress test for large bank holding...more

The Volkov Law Group

FINRA Reminds Broker-Dealers on Importance of Compliance with New AML Rules

The Volkov Law Group on

The new Anti-Money Laundering laws and regulations continue to roll out with new risks, liabilities and compliance requirements.  There is a coming AML enforcement storm, fueled by a new AML whistleblower program that will...more

Ballard Spahr LLP

CFPB rescinds 2018 bulletin on supervisory communications and issues replacement bulletin eliminating supervisory recommendations

Ballard Spahr LLP on

In addition to rescinding seven policy statements providing flexibility to companies in meeting certain compliance obligations during the pandemic, the CFPB has also rescinded its 2018 bulletin (2018-01) that announced...more

Davis Wright Tremaine LLP

CFPB Issues Guidelines Encouraging Access to Financial Products and Services for Customers with Limited English Proficiency

Approximately 22 percent of U.S. residents over the age of 5 speak a language other than English at home. Of those persons, approximately 37.6 percent have limited English proficiency (LEP), meaning they have a limited...more

Mitratech Holdings, Inc

OCC Steps Up Scrutiny of EUCs at Financial Institutions

Mitratech Holdings, Inc on

EUCs – End User Computing applications – have hit the headlines again, after the US Office of the Comptroller of the Currency (OCC) levied a $400 million fine on an American-based bank. It found issues in the institution’s...more

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