Crypto's Capital Markets Revolution: Insights From GSR's Josh Riezman — The Crypto Exchange Podcast
10 For 10: Top Compliance Stories For the Week Ending August 23, 2025
Daily Compliance News: August 22, 2025, The WADA Returns Edition
Enhancing Card Partnerships and Compliance: A Conversation With Matthew Goldman — Payments Pros – The Payments Law Podcast
Institutional Adoption, Tax Challenges, and What's Next for Crypto in the US — Insights from KPMG's Tony Tuths - The Crypto Exchange Podcast
10 For 10: Top Compliance Stories For the Week Ending August 9, 2025
Daily Compliance News: August 5, 2025, The Staying Focused Edition
Wild Times for the Community Reinvestment Act
10 For 10: Top Compliance Stories For the Week Ending, July 26, 2025
Compliance Tip of the Day: Citibank and Continuous Monitoring
Daily Compliance News: July 24, 2025, The In Phone Hell Edition
Wire Fraud Litigants Beware: Fourth Circuit Ruling Protects the Banks — The Consumer Finance Podcast
Top challenges with Compliance Management
Daily Compliance News: July 15, 2025, The Fighting Workplace Bullying Edition
Driving Digital Security: The FTC's Safeguards Rule Explained — Moving the Metal: The Auto Finance Podcast
#Risk New York Speaker Series – Exploring Future Regulatory Trends and Compliance Strategies with Rory McGrath
The Capital Ratio Podcast | Entering the US Banking Market
Point-of-Sale Finance Series: Banking on Lending Models — The Consumer Finance Podcast
Great Women in Compliance: GWIC X EC Q2 2025 - Exploring Compliance Innovations
2023 CRA Rule Repeal: Lessons to be Learned
Cyber, Privacy, and Technology Report - Welcome to your monthly rundown of all things cyber, privacy, and technology, where we highlight all the happenings you may have missed. State Action: North Dakota Passes Law...more
The UK Information Commissioner’s Office (the ICO) has published guidance to help firms take steps to protect customers’ personal information when data is shared between firms to prevent fraud and scams....more
Imagine this scenario: A financial institution adopted AI to automate credit decisions, but due to an inadequate governance framework, the system denied loans based on incomplete or biased data. When regulators and customers...more
During the course of any lending transaction, lenders will conduct a due diligence review of the borrower, including reviewing any relevant “know-your-customer” information. In the context of a fund finance transaction, this...more
Investment firms and other financial institutions are subject to the strict recordkeeping and communication regulations laid out by both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange...more
There will be additional compliance obligations and mandatory contractual provisions introduced for financial entities and outsourced IT service providers. The new DORA seeks to strengthen the resilience of financial...more
Are you ready to learn how to implement electronic communications capture and supervision in your firm for better compliance and prevention of regulatory violations? Is messaging compliance giving your compliance function...more
Most Financial Services Institutions (FSIs) have digital technology at their core. And a primary responsibility for most FSIs is “cyber-connect” customers – be they organizations or individuals – with their money simply and...more
Artificial intelligence (AI) and machine learning (ML) technology have started to transform financial services and bring about new business opportunities, but with risks. AI governance should be adopted by financial...more
The Gramm-Leach-Bliley Act (GLBA) is typically referred to in the context of financial institutions. It requires offerers of consumer financial products to explain how they share information and protect sensitive data. It’s...more
Welcome to the inaugural issue of Katten’s Privacy, Data and Cybersecurity Quick Bytes. Each month, Quick Bytes will highlight the latest news and legal developments involving privacy, data and cybersecurity issues across the...more
Le bureau Parisien de Hogan Lovells a le plaisir de vous adresser sa lettre d'information mensuelle qui vous présente les Actualités législatives et réglementaires du mois de juin 2022. Ces Actualités législatives et...more
Colorado recently joined Virginia and California in passing a more comprehensive privacy law. The Colorado Privacy Act (CPA) will go into effect July 1, 2023. This is six months after Virginia’s law (CDPA) and California’s...more
Future framework for regulation of UK financial services: Treasury Committee report - The House of Commons Treasury Committee has published its Fifth Report of Session 2021-22 on the future framework for regulating financial...more
In 2020, we saw an increased regulatory focus on cybersecurity. Though former SEC Chairman Clayton largely took the view that existing statutes and regulations were sufficient, the Division of Examinations increased exam...more
The UK Information Commissioner’s Office (“ICO”) has published a letter sent to the U.S. Securities and Exchange Commission. The ICO confirms that it is possible for SEC regulated UK firms to transfer personal data to the...more
The Spanish Data Protection Agency (“Spanish DPA”) decided to start 2021 the same way it ended 2020: by imposing the highest fines to date (EUR 5,000,000 and 6,000,000) to two large Spanish financial entities. ...more
Happy Data Privacy Day! Today we report on New York Governor Andrew Cuomo's recent State of the State address, in which he announced the state's 2021 policy agenda. Included in the Governor's agenda are enhanced consumer...more
As contactless transactions boom, EU regulators publish draft guidelines on the interplay between the GDPR and PSD2. Last year, more than half of all payments in the UK were made by card and contactless methods, while cash...more
Open banking is an important driver of the fintech revolution. Regulators have recognised open banking as a means of introducing competition and innovation in the banking sector. Likewise, fintechs are seizing the...more
Six steps can take institutions beyond merely good. What makes for a great anti-money laundering compliance program? This is not a pie-in-the-sky idea. As financial institutions strive to keep up with evolving regulations...more
UK government encourages regulated firms to share customer information within corporate groups, highlighting interaction with firms’ obligations under the Proceeds of Crime Act 2002 and GDPR. The UK government has...more
Not too long ago, an investment manager looking to invest in a company might conduct due diligence, attend investor relation calls, peruse quarterly or annual filings, and consider standard ratios such as price to earnings...more
In the following article we will discuss the current developments and trends for 2020 and outline what EU-based companies with a US presence should look out for in 2020 regarding US white-collar and compliance trends in the...more
On 6 November we held a breakfast seminar focusing on the most important sanctions issues affecting the City and how to manage compliance with different financial sanctions regimes effectively. ...more