News & Analysis as of August 18, 2025

Financial Institutions

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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +

SEC Issues FAQs on Broker-Dealer Crypto Asset Activities, Transfer Agent Blockchain Use

Morgan Lewis on 5/28/2025

The Staff of the Division of Trading and Markets of the US Securities and Exchange Commission issued on May 15, 2025 responses to Frequently Asked Questions Relating to Crypto Asset Activities and Distributed Ledger...more

Recent SEC AML Enforcement Against Securities Firms Engaged in Cannabis Sector

Gordon Rees Scully Mansukhani on 5/22/2025

The evolving regulatory landscape for marijuana-related businesses poses unique compliance challenges for firms in the securities industry. The Financial Crimes Enforcement Network (“FinCEN”) continues to enforce its 2014...more

Banking Nominees Advance, SEC Tackles Tokenization and OCC Issues Custody Guidance

Paul Hastings LLP on 5/16/2025

Several significant regulatory and policy developments took place this week in Washington. The Senate banking committee advanced several key nominations, including Michelle Bowman to serve as vice chair for supervision at the...more

Weekly Blockchain Blog - March 2025 #5

BakerHostetler on 3/31/2025

In a recent press release, Custodial Bank and Vantage Bank announced “America’s first bank-issued stablecoin on a permissionless blockchain.” According to the press release, “[t]he banks collaborated on the mint, transfer and...more

Financial Daily Dose 2.7.2020 | Top Story: Credit Suisse CEO Tiam Out in Wake of Corporate Spying Scandal

Robins Kaplan LLP on 2/7/2020

Credit Suisse’s CEO Tidjane Thiam is out, to be succeeded next week by longtime company vet Thomas Gottstein. Thaim appeared to have ridden out the corporate spying scandal involving a former employee last year, and he had...more

The SEC OCIE Announces Increased Scrutiny of Broker-Dealers’ and Investment Advisers’ Cybersecurity Programs

BakerHostetler on 9/29/2015

On September 15, 2015, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert (2015 Risk Alert) to provide broker-dealers and investment...more

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