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Regulatory Standards Risk Management Compliance

A&O Shearman

EBA consults on draft RTS and guidelines for third country branches under CRD IV

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The European Banking Authority (EBA) has published three consultation papers under Directive 2013/36 (CRD IV), as amended by Directive 2024/169 (CRD VI), relating to the regulatory requirements for third country branches...more

Davis Wright Tremaine LLP

FERC Moves To Bolster Cybersecurity

On June 26, FERC approved a new reliability standard (CIP-015-1) proposed by the North American Electric Reliability Corporation ("NERC") to enhance cybersecurity of the nation's bulk electric system ("BES"). In a related...more

Woods Rogers

FAR Council Publishes Proposed Rule Imposing New Security Requirements on Contractors Handling CUI

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On January 15, 2025, the Federal Acquisition Regulatory Council published a proposed rule (the FAR CUI Rule) that would amend the Federal Acquisition Regulation (FAR) to impose government-wide cybersecurity, training, and...more

Barnea Jaffa Lande & Co.

Understanding DORA: An Overview of the Digital Operational Resilience Act

The Digital Operational Resilience Act (DORA) is an EU regulatory framework, aimed at enhancing the financial sector’s ability to withstand and recover from ICT (information and communication technology) disruptions....more

Ankura

Banking as a Service: How Strong Is Your Financial Crime Compliance Partnership?

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The growth in partnerships between banks and Fintech companies through Banking as a Service (BaaS) models presents significant opportunities for innovation across the financial services sector. However, these collaborations...more

Akin Gump Strauss Hauer & Feld LLP

EU Ratifies Pioneering Artificial Intelligence Legislation

On May 21, 2024, the European Union finalized the adoption of the groundbreaking EU Artificial Intelligence Act, a comprehensive and sector-agnostic legislation that extends globally. This 420-page Act aims to regulate the...more

Venable LLP

Colorado's Landmark AI Law: Essential Insights for Businesses

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On May 17, 2024, Governor Jared Polis signed into law Colorado Senate Bill 24-205 (SB205), pioneering a comprehensive regulatory framework for artificial intelligence (AI) systems....more

Baker Donelson

Analyzing the EU Artificial Intelligence Act: Spotlight on Biometrics

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The European Parliament formally adopted the EU Artificial Intelligence Act (AI Act), a first-of-its-kind comprehensive regulation governing the use of artificial intelligence (AI), on March 13, 2024. While applicable to a...more

SEC Compliance Consultants, Inc. (SEC³)

Top Tips for Updating Your 2024 Compliance Program

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more

Hinshaw & Culbertson - Privacy, Cyber & AI...

4 Key Takeaways for Privacy Professionals Taken From the IAPP 2024 Global Summit

We recently attended the International Association of Privacy Professionals (IAPP) 2024 Global Summit. The event provided great insights into privacy, artificial intelligence (AI), and regulatory issues, and we wanted to...more

Guidepost Solutions LLC

Investment Advisers and Generative AI

Start Planning Now to Reduce Your Increased Money Laundering, Sanctions, and Conflicts of Interest Risks The introduction and use of generative artificial intelligence (GenAI) and predictive data analytics (PDAs) by...more

BCLP

Social Action - How will the financial regulator influence the Online Safety Act?

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Social media raises a novel set of risks and challenges to effective financial services regulation, particularly in the field of consumer protection and market integrity. Specifically, regulators have expressed concerns...more

K&L Gates LLP

US Asset Management Regulatory Year in Review 2023

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It is a dramatic understatement to describe 2023 as a busy year in the United States for asset management regulation. With 24 rules adopted and 18 new rules or rule amendments proposed, the US Securities and Exchange...more

Patterson Belknap Webb & Tyler LLP

Implementation of DFS Cybersecurity Amendments Continues as Ransomware Attacks Dominate Headlines

Last month, as the New York State Department of Financial Services (“DFS”) began phasing in amended cybersecurity regulations and continued enforcement actions against noncompliant entities, a wave of ransomware attacks...more

Oberheiden P.C.

Promoters, Endorsers, and Brokers: Understanding the Rules on Securities and Cryptocurrency Investment Advertising

Oberheiden P.C. on

Promoting securities, cryptocurrency, and other investment opportunities is fraught with legal risks. Individuals who engage in promotional activities must ensure that they have a clear understanding of the federal laws and...more

Guidepost Solutions LLC

Bank Merger Compliance Risks: Are You Prepared?

Bank mergers and acquisitions are becoming a regular part of life in the banking industry, especially for smaller and medium-sized organizations. They provide significant opportunities for institutions to expand their...more

The Volkov Law Group

New York’s Department of Financial Services Proposes New Cyber Compliance Requirements

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The New York Department of Financial Services (“DFS”) has proposed rule changes to increase cyber compliance requirements. DFS has been the leading regulatory force in the cybersecurity industry. ...more

Latham & Watkins LLP

10 Key Focus Areas for UK-Regulated Financial Services Firms in 2022

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Environmental, social, and governance (ESG) considerations have come to the forefront of firms’ regulatory change agendas in recent years, and this focus looks set to continue in 2022. The past year has witnessed significant...more

Foley & Lardner LLP

Health Care Provider Director and Officer Liability: Important Takeaways from Clovis and Marchand

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Health care provider boards of directors have been put on notice—given these two recent Delaware court decisions - Clovis and Marchand—that courts may be willing to significantly extend a corporate board’s Caremark duty to...more

Mitratech Holdings, Inc

Holiday Obligations and Compliance Management

The parallels with compliance management - Think about it: The challenges you face in managing your compliance obligations aren’t unlike bringing the family together for the holiday meal…you have to round everybody up,...more

Thomas Fox - Compliance Evangelist

Bridging the Gap in Compliance: Tribute to Irv Noren

From the HR and compliance perspective, there are four steps to undertaking a gap analysis: 1) understanding the compliance and HR environment in your organization; 2) taking a holistic approach to understanding the...more

McDermott Will & Schulte

[Event] Life Sciences Bootcamp for In-House Counsel - July 18th, San Francisco, CA

McDermott’s cross-functional team of life sciences professionals present the inaugural Bay-Area Life Sciences Bootcamp focusing on issues and trends important to life sciences companies. ...more

Foley & Lardner LLP

Managing the Aggressive Enforcement of International Regulations by the Trump Organization: Compliance Best Practices for...

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With the Trump administration having put in place the largest export controls penalty of all time, the second-largest economic sanctions/OFAC penalty, and five of the ten largest FCPA penalties, international regulatory risk...more

Mitratech Holdings, Inc

The Effect of Brexit on Legal, Risk and Compliance

Some of the legal and compliance effects of Brexit on businesses in the UK are well-understood and have been well-documented. ...more

Thomas Fox - Compliance Evangelist

Looking Forward in Compliance with Hui Chen

The Monday afternoon keynote speech by Hui Chen at Compliance Week 2019 was one of the most significant speeches I have heard recently. I thought Chen’s keynote speech summed up where compliance has been and where it is going...more

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