News & Analysis as of

Regulatory Requirements Risk Management Fraud

Greenbaum, Rowe, Smith & Davis LLP

Navigating New Jersey’s Medical Spa Regulatory Landscape: Key Compliance and Risk Management Considerations

The medical spa industry is thriving, but with growth comes complexity, particularly in New Jersey where healthcare and professional licensing rules intersect with business and real-estate regulations. For physicians, nurses,...more

Felicello Law PC

When Do You Have a Duty to Blow the Whistle? (And Call a Lawyer!)

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No one wants to be a “snitch” – snitches get stiches, right? But protecting wrongdoers with silence can cause serious harm. That’s why consumer advocate Ralph Nader popularized the term “whistleblower” in the 1970s, to cast a...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: July 22, 2025, The I-9 Hell Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance...more

Pillsbury Winthrop Shaw Pittman LLP

New UK Corporate Offense of “Failure to Prevent Fraud” Under Economic Crime and Corporate Transparency Act 2023: What Companies...

On September 1, the new Failure to Prevent Fraud offense will come into force, which has extraterritorial effect and significantly expands corporate liability for nine types of fraud committed by associated persons. The UK...more

Orrick, Herrington & Sutcliffe LLP

CFTC Commissioner discusses AI uses in financial services

On July 14, the Commissioner of the CFTC, Kristin Johnson, spoke at an international regulators roundtable to discuss AI in the financial services sector and emerging cyber risks. The Commissioner’s speech highlighted AI’s...more

Clark Hill PLC

Key lessons on the False Claims Act for government contractors after Raytheon’s $8.4 million settlement

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Government contractors should be on high alert following the recent announcement that Raytheon Company, its parent RTX Corporation, and Nightwing Group, LLC, have agreed to pay $8.4 million to resolve allegations of violating...more

Goodwin

The UK’s Failure to Prevent Fraud Offence: Private Fund Managers, Portfolio Companies, and Placement Agents

Goodwin on

In a previous alert titled “UK Limited Partnership Reform Becomes Law: A Practical Guide of How Best to Get Ready to Comply,” we discussed the changes to limited partnership law ushered in by the Economic Crime and Corporate...more

Troutman Pepper Locke

Federal Banking Agencies Issue RFI on Payments and Check Fraud Mitigation Strategies

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On June 16, the Federal Deposit Insurance Corporation (FDIC), the Federal Reserve Board, and the Office of the Comptroller of the Currency (OCC) issued a joint request for public comment on potential ways to address payments...more

Foley & Lardner LLP

What Every Multinational Company Should Know About … Combating Fraud in India

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...Fraud continues to pose significant challenges across industries worldwide. For multinational companies operating in India, the country offers enormous opportunity — but also presents distinct operational and regulatory...more

Thomas Fox - Compliance Evangelist

Great Women in Compliance: From Hotline to Headline: The DOJ’s Whistleblower Awards Reboot with Mary Inman and Liz Soltan

In this timely roundtable, Lisa and Hemma sit down with Mary Inman and Liz Soltan, two powerhouse advocates in the whistleblower legal space, to unpack the DOJ’s newly revised Corporate Whistleblower Awards (CWA) Pilot...more

A&O Shearman

IOSCO publishes final reports on finfluencers, online imitative trading practices and digital engagement practices

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The International Organization of Securities Commissions (IOSCO) has published final reports on finfluencers, online imitative trading practices and digital engagement practices, accompanied by a press release. These reports...more

Ankura

Challenges in Data Sharing between Banking Partners

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Life in the United States and most modern industrialized countries is driven primarily by data. Google alone processes 20 Petabytes of data every day (1 petabyte = 1 million gigabytes. Economies are built on data; marketing...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: April 29, 2025, The GenZ/RTO Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy morning coffee, and listen to the Daily Compliance News. All, from the...more

HaystackID

Tariff Evasion is the New Money Laundering: AI and AML Strategies for Global Trade Integrity

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Tariff evasion is the new money laundering. As global commerce evolves, this emerging reality poses a critical concern for economic stability and corporate competitiveness. Just as money laundering once exploited banking...more

Ankura

Remediation Happens: How To Identify, Mitigate and Resolve Related Risks

Ankura on

Remediation occurs for a host of reasons. You may identify remediation risk from internal activities (e.g., an audit, a control break) or external activities (e.g., a complaint, a regulatory exam, a lawsuit). Sometimes a...more

A&O Shearman

Financial Crime: The FCA’s Strategy for 2025 – 2030

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In its strategy for the next five years, financial crime remains a priority for the UK Financial Conduct Authority (FCA). While the FCA acknowledges the significant efforts firms invest in their anti-financial crime systems,...more

K&L Gates LLP

United States: SEC’s Approach to Artificial Intelligence Begins to Take Shape

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On 27 March 2025, the US Securities and Exchange Commission (SEC) hosted a roundtable on Artificial Intelligence (AI) in the financial industry that was designed to solicit feedback on the risks, benefits and governance of...more

Walkers

Central Bank Modernises Consumer Protection Code and introduces Standards for Business

Walkers on

Today, the Central Bank of Ireland published the Consumer Protection Code 2025 ("CPC 2025") comprising: (i) the Consumer Protection Code Central Bank Reform Act 2010 (Section 17A) (Standards for Business) Regulations 2025...more

Blake, Cassels & Graydon LLP

Secteur des paiements au Canada : Principaux développements attendus en 2025

L’année 2025 pourrait se révéler porteuse d’importants changements dans le secteur des paiements au Canada en raison de l’élargissement de l’admissibilité à participer aux systèmes de Paiements Canada, ainsi que du...more

Paul Hastings LLP

The CFTC Is “in the Mode to Make Deals” (and Other Updates on the Commission)

Paul Hastings LLP on

Yesterday, Acting CFTC Chairman Caroline Pham created a two-week window to bring “reasonable settlement offers” to the commission. Based on my conversations with her and others, I believe the CFTC is in “deal mode” and is...more

Cadwalader, Wickersham & Taft LLP

Amid Chaos, Regulatory Change Continues Apace, March 2025 - New CFTC Enforcement Guidance

On February 25th, 2025, the Commodity Futures Trading Commission’s (“CFTC”) Division of Enforcement (“Division”) issued a long-awaited advisory (the “Advisory”) regarding its evaluation of how a company’s or individual’s...more

DLA Piper

False Claims Act Year in Review: 2024

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The US government and private plaintiffs use the False Claims Act (FCA) – a federal statute originally enacted in 1863 in response to defense contractor fraud during the American Civil War – to combat various forms of fraud...more

Alston & Bird

Consumer Finance State Roundup - March 2025

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The latest edition of the Consumer Finance State Roundup highlights recently enacted measures of potential interest from two states: California: Effective January 1, California Assembly Bill 3108 addresses mortgage fraud. ...more

Jenner & Block

Client Alert: SEC Priorities Regarding Cybersecurity Enforcement: What Public Companies Need to Know Now in the Second Trump...

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The SEC recently announced the creation of a Cyber and Emerging Technologies Unit (CETU) that will focus on fraudulent conduct in cybersecurity, digital assets, and emerging technologies such as artificial intelligence. For...more

MoFo Tech

AI Trends for 2025 - AI and Financial Services: Balancing Innovation with Regulatory Compliance

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As the adoption of artificial intelligence (AI) continues to expand, the financial services industry is leveraging this technology in many ways. AI’s application in credit decision making has become increasingly prominent,...more

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