Point-of-Sale Finance Series: Understanding the Development and Regulation of Buy Now, Pay Later Products — The Consumer Finance Podcast
Enhancing Card Partnerships and Compliance: A Conversation With Matthew Goldman — Payments Pros – The Payments Law Podcast
Regulatory Rollback: CFPB’s Withdrawal of Informal Guidance Sparks New Litigation Dynamics – The Consumer Finance Podcast
Sunday Book Review: August 10, 2025, The More Books from The Ethicsverse Library Edition
AI Today in 5: August 6, 2025, The Rethinking Compliance Episode
Wild Times for the Community Reinvestment Act
Suluki Secrets: Behind the Scenes of Reasonable Investigations — FCRA Focus Podcast
The Current State of the Holder Rule: Friend or Foe? — Moving the Metal: The Auto Finance Podcast
Regulatory Rollback: Legal Challenges and Opportunities in Earned-Wage Access — Payments Pros – The Payments Law Podcast
Regulatory Rollback: Legal Challenges and Opportunities in Earned-Wage Access — The Consumer Finance Podcast
Daily Compliance News: July 22, 2025, The I-9 Hell Edition
Compliance Tip of the Day: Avoiding CCO Liability
2 Gurus Talk Compliance: Episode 55 – The From Worse to Worser Edition
Balch’s Consumer Finance Compass: How Standing Can Make or Break Certification for Class Action Lawsuits in Debt Collection
Top challenges with Compliance Management
Sittenfeld v. United States – Campaign Contributions as Crimes?
From Banks to FinTech: The Evolution of Small Business Lending — The Consumer Finance Podcast
From Banks to FinTech: The Evolution of Small Business Lending — Payments Pros – The Payments Law Podcast
The Capital Ratio Podcast | Entering the US Banking Market
Daily Compliance News: July 7, 2025 the Disaster on the River Edition
These days, you'd be hard-pressed to find an business that isn't advertising on social media. But when it comes to financial service providers, social media marketing can become a double-edged sword, or worse a compliance...more
Social media marketing is an important form of advertising in our digital world, particularly with a target audience of younger investors. This has caught the eye of FINRA and the SEC....more
The digital revolution has transformed the banking industry. As financial services and associated communications move online, it is more important than ever for institutions to manage and control their online presence....more
The Securities and Exchange Commission announced an upcoming meeting of its Investor Advisory Committee, which will be held on June 6, 2024. The agenda includes a number of interesting topics....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
Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about problematic record-keeping practices involving the use of...more
Securities products and social media don’t always mix. Just ask any of the celebrities who in recent years have faced SEC charges for unlawfully touting crypto asset securities. In March, the SEC settled charges against six...more
In This Issue. The U.S. Securities and Exchange Commission (SEC) published a sample comment letter on climate change disclosures; the Financial Industry Regulatory Authority (FINRA) is conducting a review of brokerage firm...more
Last week FINRA announced a new inquiry into firms’ use of social media and “influencers” to attract clients. After the well-publicized market volatility in GameStop, which was bolstered by an online influencer known as...more
If you’re a regular reader of Hanzo, we’ve probably already convinced you that you need to be archiving any social media profiles that your organization maintains, along with your website. Chances are you’ve heard us talk...more
WARCs? WORMs? Is this a lost installment of the Lord of the Rings? Unfortunately, no. Rather, WARC and WORM are abbreviations that you should be familiar with if you’re maintaining digital archives for regulatory compliance,...more
The Financial Industry Regulatory Authority's (FINRA) constantly updated record of disciplinary actions contains a mixed bag of run-of-the-mill infractions, unethical behavior, and large-scale corporate misconduct and...more
Do your web archives have inTegrity? There’s a trend today toward more interactive and personalized web content, but that makes online archiving technically challenging. In the financial services industry, FINRA and SEC...more
In April, FINRA issued Regulatory Notice 17-18, which reiterates previous rules and provides additional guidance regarding the application of several key rules governing communications with the public to digital...more