10 For 10: Top Compliance Stories For the Week Ending July 19, 2025
Daily Compliance News: July 15, 2025, The Fighting Workplace Bullying Edition
Everything Compliance: Episode 153, The CW 25 Edition
Compliance into the Weeds: Global Anti-Corruption Leadership
Daily Compliance News: March 18, 2025, The Slack Channel Edition
Podcast — UK FinReg Focus Areas in 2025: Retail Markets
Fintech Focus Podcast | Sanctions Compliance: Regulators Set Their Sights on Fintechs
Sanctions Compliance: Regulators Set Their Sights on Fintechs
Fintech Focus Podcast | The UK Fintech Investment Landscape
The Standard Formula Podcast | Developments on the Horizon for the UK Change-in-Control Regulatory Regime
Brexit & Financial Services: Preparing for the End of the Transition Period
HM Treasury has published a policy paper setting out an update to its final position to its 2024 consultation on regulating Buy-Now, Pay-Later (BNPL) products which led to the laying of the draft secondary legislation, The...more
On 11 March 2025, the UK government announced its decision to abolish the Payment Systems Regulator (PSR) as part of a broader initiative to reduce regulatory burdens and stimulate economic growth. This action is intended to...more
November 2, 2023- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Ensuring Financial Protection for Servicemembers, Veterans, and Their Families." November 2, 2023- The U.S....more
October 19, 2023- The Consumer Financial Protection Bureau proposed a rule that would accelerate a shift toward open banking, where consumers would have control over data about their financial lives and would gain new...more
September 28, 2023- The U.S. House Committee on Small Business Subcommittee on Rural Development, Energy, and Supply Chains held a hearing titled "Energy Independence: How Burdensome Energy Regulations are Crushing Small...more
September 20, 2023- Federal Deposit Insurance Corporation Chairman Martin J. Gruenberg addressed The Exchequer Club in Washington, DC on the financial stability risks of nonbank financial institutions....more
September 19, 2023- The U.S. House Committee on Financial Services Subcommittee on Capital Markets held a hearing entitled, "Oversight of the SEC's Division of Investment Management."...more
September 13, 2023- The U.S. House Committee on Financial Services held a hearing entitled, "Oversight of the Committee on Foreign Investment in the United States (CFIUS) and Other Efforts to Strengthen National Security...more
August 18, 2023- The House Committee on Small Business announced its September hearing schedule. Subcommittee on Economic Growth, Tax, and Capital Access Hearing: "Enabling Success: Examining the Competitive Landscape...more
August 17, 2023- The Financial Conduct Authority is setting out expectations for cryptoasset businesses that need to comply with a change in money laundering legislation legislated by government in July 2022....more
July 26, 2023- The Department of Justice, Department of Commerce's Bureau of Industry and Security (BIS), and the Department of the Treasury's Office of Foreign Assets Control (OFAC) issued a joint compliance note focusing...more
April 19, 2023- The U.S. House Committee on Financial Services Subcommittee on Digital Assets held a hearing entitled, "Understanding Stablecoins' Role in Payments and the Need for Legislation."...more
Major Developments- Federal Reserve Board- Federal Reserve Board releases results of annual bank stress test- June 23, 2022- The Federal Reserve Board released the results of its annual bank stress test....more
Congress- U.S. Senate- Committee on Banking, Housing, and Urban Affairs- Hearing: Considering the Index Fund Voting Process-...more
BROKER-DEALER - SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors - On April 26, the Securities and Exchange Commission announced that its Small...more
In This Issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more