Strategic Benefits of Consumer Surveys in Complex Litigation | Episode 69
Compliance Perspectives: Michael Horowitz, Inspector General at the Department of Justice, on Conducting High Profile Internal Investigations - Part 2
Compliance Perspectives: Michael Horowitz, Inspector General at the Department of Justice, on Conducting High Profile Internal Investigations - Part I
On 15 May 2025, the UK Government published the conclusions of its cross-government review of UK sanctions implementation and enforcement (the Review)....more
This month, an interim report on artificial intelligence in the financial sector was published for public comment. The report was written by the Ministries of Justice and Treasury, the Competition Authority, the Securities...more
The Sexism in the City report highlights key issues affecting women in financial services and sets out a number of recommendations to address them. On 8 March 2024, the House of Commons Treasury Committee published its...more
A recent OCC report identified key issues facing the federal banking system, including increasing credit risk due to higher interest rates, increasing risk in commercial real estate lending, prolonged inflation, declining...more
The Final Report recommends five themes that financial institutions should incorporate into their net zero transition strategies. On 1 November 2022, the Glasgow Financial Alliance for Net Zero (GFANZ) issued its Final...more
A new national strategy report aims to combat climate-related risks to the US financial system. On October 14, 2021, the Biden Administration issued “A Roadmap to Build a Climate-Resilient Economy” (the Roadmap), a...more
On Monday, August 23, the General Guidelines on Liquidity Requirements for Banking Institutions issued jointly by the National Banking and Securities Commission (the “Commission”) and Mexico’s Central Bank, Banco de México,...more
A report from the Taskforce on Innovation, Growth and Regulatory Reform provides recommendations for how the UK can “re-imagine” its approach to regulation post-Brexit. On 16 June 2021, the Taskforce on Innovation,...more
An FCA report evaluates the chequered implementation of technology change and identifies risks and best practices to help firms better navigate this change. Of the nearly 1,000 “material incidents” reported to the UK’s...more
The report’s recommendations cover a number of areas, including culture and strategy, monitoring and reporting, investor engagement, policy formation and employee training, and philanthropy. A new report from the UK...more
The Annual Report provides transparency on FINRA’s recent examination findings and focus for the coming year. On October 16, 2019, the Financial Industry Regulatory Authority (FINRA) published its annual Report on...more
The UK Law Commission has published a report criticising existing anti-money laundering legislation and providing recommendations to improve the quality of Suspicious Activity Reports (SARs). What should we make of these...more
The guidelines create new obligations for financial, payment, and electronic money institutions that will impact cloud outsourcing and deployment of FinTech. On 25 February 2019, the European Banking Authority (EBA)...more
The Joint Committee of the European Supervisory Authorities has published a final report on the use of Big Data by financial institutions. The Final Report has been prepared following feedback to a discussion paper published...more
The U.S. Department of the Treasury released its report and recommendations regarding the Orderly Liquidation Authority established under Title II of the Dodd-Frank Act. The report proposes a “bankruptcy first” approach to...more
ESMA Sheds Light on MiFID II Product Governance. The MiFID II Product Governance regime presents a number of implementation challenges for firms. The rules originated from an existing FCA regime, which derived from a need...more
On September 28, the European Securities and Markets Authority (ESMA) published a final report (Report) containing draft regulatory and implementing technical standards (Standards) on the revised EU Markets in Financial...more
Regulatory Developments - California Department of Business Oversight Permits Money Transmitter to Treat Customer Funds in Designated Custodial Account as “Eligible Securities” - The California Department of...more
The CFPB has issued its seventh Semi-Annual Report to the President and Congress covering the period from October 1, 2014 through March 31, 2015. The 190-page report recycles information from previously-issued CFPB reports...more
On June 10, 2015, the Fair and Effective Markets Review (FEMR), established by the Chancellor in June 2014 to conduct a review of fixed income, currency and commodity markets, published its final report. The report contains...more
The CFPB recently released a report that documents the results of a research project undertaken by the CFPB’s Office of Research to better understand the demographic characteristics of consumers without traditional credit...more
California Attorney General Kamala D. Harris has released a “California Data Breach Report,” which presents a series of findings and recommendations based on a review of breaches reported to the Attorney General’s office in...more