Compliance Tip of the Day: COSO Objective 5 – Monitoring Activities
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Laws Affect Securities Offerings?
Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Investment Management and Private Funds Roundtable – June 2020
Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Regulation Best Interest Videocast Series: Establishing An Investment Platform Post-Regulation BI
Investment Management Update - Focus on Data Privacy and Cybersecurity
April 15, 2025 - The Federal Reserve Board, Federal Deposit Insurance Corporation, National Credit Union Administration and Office of the Comptroller of the Currency temporarily paused certain appraisal requirements for...more
August 9, 2024 - The U.S. Department of the Treasury, Federal Reserve Board, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, Securities and Exchange Commission, Commodity Futures Trading...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
May 25, 2023- The U.S. House Committee on Financial Services Subcommittee on National Security, Illicit Finance, and International Financial Institutions held a hearing entitled, "International Financial Institutions in an...more
April 5, 2023- The U.S. Department of the Treasury's Office of Foreign Assets Control took action to designate Genesis Market, for its part in the theft and sale of device credentials and related sensitive information....more
March 13, 2023- The Federal Reserve Board announced that Vice Chair for Supervision Michael S. Barr is leading a review of the supervision and regulation of Silicon Valley Bank, in light of its failure. The review will be...more
February 6, 2023- The Federal Reserve Bank of New York published a Liberty Street Economics blog post entitled, "Understanding the "Inconvenience" of U.S. Treasury Bonds."...more
September 30, 2022- The U.S. Department of the Treasury's Office of Foreign Assets Control designated 14 persons in Russia's military-industrial complex, including two international suppliers, three key leaders of Russia's...more
September 29, 2022- The U.S. Treasury's Financial Crimes Enforcement Network issued a final rule establishing a beneficial ownership information reporting requirement, pursuant to the bipartisan Corporate Transparency Act....more
July 21, 2022- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Priced Out: The State of Housing in America."...more