CFPB's Policy Statement on Abusiveness (Part 2) - The Consumer Finance Podcast
Compliance Perspectives: Changes to the Physician Self-Referral and Anti-Kickback Rules
On July 1, the SEC’s Division of Corporation Finance (Corp Fin) issued a statement regarding Crypto Asset Exchange-Traded Products (crypto asset ETPs). Crypto asset ETPs are investment products that are listed and traded...more
HM Treasury has published a policy statement on the treatment of overseas investment exchanges for the purposes of the U.K. Capital Requirements Regulation. HM Treasury initially proposed to expand the definition of...more
On 28 November 2023, the UK's Financial Conduct Authority ("FCA") published its "Sustainability Disclosure Requirements ("SDR") and investment labels" policy statement (PS23/16) (the "Policy Statement"). The Policy Statement...more
In Policy Statement 23/4 (PS23/4) on “Improving Equity Secondary Markets,” the UK’s Financial Conduct Authority sets out its final proposed amendments to...more
On 26 November 2021, the UK Financial Conduct Authority (“FCA”) published its third policy statement (PS21/17) setting out its final rules to introduce its Investment Firms Prudential Regime (“IFPR”). ...more
What is the IFPR? The new UK Investment Firms Prudential Regime (“IFPR”) will come into force on 1 January 2022 and will apply to UK investment firms authorised under the Markets in Financial Instruments Directive (“MiFID”)...more
Estimating, reporting, and mitigating risk concerning environmental justice (“EJ”) has increasingly become a complex undertaking. The EPA defines environmental justice as “the fair treatment and meaningful involvement of all...more
On 26 July 2021, the UK Financial Conduct Authority (“FCA”) published its second policy statement (PS21/9) (“PS2”) in relation to the UK Investment Firms Prudential Regime (“IFPR”). PS2 is the second of a series of policy...more
On April 21, 2020, the U.S. Securities and Exchange Commission Chair, Chief Accountant and Divisions of Corporation Finance and Investment Management Directors, together with the Public Company Accounting Oversight Board...more
Amongst the flurry of ministerial assignments issued on the last day of a rather turbulent political term, was the Government’s White Paper on national security investment controls and the accompanying Statement of Policy...more
On December 9, 2016, the Board of Governors of the Federal Reserve System (“Federal Reserve Board”) issued SR 16-18, “Procedures for a Banking Entity to Request an Extended Transition Period for Illiquid Funds” (“SR 1618”). A...more
On September 15, 2015, the Conference of State Bank Supervisors (“CSBS”) issued its final Model Regulatory Framework on virtual currency activities (“Final Framework”). The Final Framework follows the CSBS’s December 2014...more