News from the economy, politics and the financial markets
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[Video] Data Driven Compliance: Navigating Self-Disclosure Under the FTPF and Updated ECCT
Welcome to Season 2 of the award-winning Data Driven Compliance. In this new season, we will look at the new Failure to Prevent Fraud offense. Join host Tom Fox as we explore this new law and how to comply with it through the lens of data-driven compliance. This podcast is sponsored by konaAI. In this episode of Season 2, Tom is joined by Simon Airey and Caitlyn Sheard, partners at McDermott Will & Schulte LLP, and both experts in the fields of investigation and compliance from both sides of the...By: Thomas Fox - Compliance Evangelist
[Video] Daily Compliance News: October 10, 2025, The Happy Birthday Lou 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 News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, including compliance, ethics, risk management, leadership, or general interest, relevant to the compliance professional. Top stories include: • Corruption in Zimbabwe-I am...By: Thomas Fox - Compliance Evangelist
Amendments to REIT Guidelines
On September 7, 2025, the North American Securities Administrators Association (NASAA), an organization through which state and provincial securities regulators in the United States, Canada and Mexico coordinate securities registration policies and standards, approved amendments to its Statement of Policy Regarding Real Estate Investment Trusts (REIT Guidelines). The REIT Guidelines, last amended in May 2007, apply to public offerings by real estate investment trusts (REITs) that do not list...By: Morris, Manning & Martin, LLP
Dual Registrant Regulatory Roundup - October 2025
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the previous month that are of interest to retail broker-dealer and investment adviser firms....By: Eversheds Sutherland (US) LLP
Financial Regulatory Roundup October 2025
We’re pleased to share the October edition of our Financial Regulatory Roundup Newsletter, highlighting key developments shaping the financial regulatory landscape. In the latest issue we discuss: - NYDFS Issues Two Virtual Currency Related Industry Letters - CFTC Announces Initiative and Seeks Public Comment Concerning the Use of Tokenized Collateral in Derivatives Markets - OCC Signals Shift in Approach to Bank Supervision in Remarks by Comptroller Gould - The Treasury Seeks Public...By: Haynes Boone
UK Public M&A Monthly Activity Update: September 2025
In September 2025, there were four Rule 2.7 announcements made across the UK public M&A market and seven further possible offers announced....By: Herbert Smith Freehills Kramer
FCA Consultation on Motor Finance Redress Scheme
Shortly after the London markets closed on October 7, the Financial Conduct Authority published a consultation (CP25/27) incorporating its proposed market‑wide consumer redress scheme under section 404 of the Financial Services and Markets Act 2000. The consultation closes on November 18, 2025. The FCA anticipates the final rules will be set out in early 2026 followed by a staged implementation....By: A&O Shearman
The GENIUS Act and Stablecoins: Could This Replace State Money Transmitter Licensing?
Congress created a new framework around payment stablecoins but has done more than regulate a digital asset class—it has quietly set in motion a potential transformation of the regulation of core payment systems....By: K&L Gates LLP
In the Know: Private Equity and Cross-Border Investment Challenges
Cross-border considerations are no longer peripheral issues in private equity transactions. Whether through sanctions, export controls, foreign direct investment regimes, or evolving US policy, these factors are now central to how deals are structured, valued, and closed....By: Morgan Lewis
SEC Forms Cross-Border Fraud Task Force: Key Considerations for International Companies
The US Securities and Exchange Commission has announced the formation of a cross-border task force to combat fraud. While the Commission’s press release specifically referenced market manipulation and “pump-and-dump” schemes as an initial focus, the task force’s mandate is much broader, with significant implications for international companies that do business in the United States or access the US markets....By: Morgan Lewis
Agentic AI: Opportunities and Compliance Considerations for Community Banks
Artificial intelligence has quickly moved from abstract discussion to operational reality. The newest development—“agentic” AI—goes beyond chat interfaces and predictive analytics. These systems are designed to initiate, plan, and carry out multi-step tasks on their own, such as monitoring regulatory updates, assembling compliance files, or even engaging with customers directly....By: Phelps Dunbar
Federal Banking Regulators’ Proposed Rulemakings on Reputation Risk and Unsafe Practices
On October 7, the Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC) unveiled two significant notices of proposed rulemaking (NPRs) designed to reshape the regulatory landscape for financial institutions. The first NPR aims to eliminate the use of reputation risk as a basis for regulatory actions, thereby reducing subjectivity in supervisory programs....By: Troutman Pepper Locke
SEC Provides Updates on Implementation of Treasury Clearing Rules
On September 30, 2025, the Securities and Exchange Commission (“SEC”) issued a press release, providing updates to market participants on the progress of implementing the rules on central clearing of certain secondary market transactions in U.S. Treasury securities (the “Rules”)....By: Mayer Brown Free Writings + Perspectives
Lending Bonanza Ends in Liquidations and Regulatory Intervention
In early July 2025, South Korea’s top crypto exchanges—Upbit and Bithumb—ignited a speculative firestorm by rolling out high-leverage crypto lending products that allowed users to borrow up to 400% of their collateral. The response from users on those platforms was immediate. Within weeks, 27,600 investors borrowed a staggering ₩1.5 trillion (≈ $1.1 billion), effectively fueling a nationwide margin-trading rush....By: The Rodman Law Group, LLC
Securities Class Action Litigation: A Game of Inches
About half of securities class actions are thrown out by the courts at the motion to dismiss stage, thus avoiding costly discovery and a potential settlement....By: Woodruff Sawyer
OCC’s New Initiatives to Ease Regulatory Burden on Community Banks
On October 6, the Office of the Comptroller of the Currency (OCC) announced a series of significant actions aimed at reducing the regulatory burden on community banks. These initiatives are part of the OCC’s ongoing efforts to tailor its regulatory and supervisory frameworks, thereby promoting economic growth and allowing community banks to better serve their communities....By: Troutman Pepper Locke
Artificial Intelligence Models In Financial Services: Emerging Issues And Areas Of Risk
This article explores the rapidly evolving landscape of artificial intelligence in the financial services industry, and discusses emerging risks and regulatory challenges. It examines how financial institutions are leveraging predictive and generative AI to enhance operations, and highlights the tension between innovation and compliance, particularly with the patchwork of emerging state laws and guidance that seek to address algorithmic bias and data governance. Practical considerations for data...By: Orrick, Herrington & Sutcliffe LLP
Homebuyers Privacy Protection Act Amends FCRA for Enhanced Consumer Privacy
On September 5, 2025, President Trump signed into law H.R. 2808, the Homebuyers Privacy Protection Act (Act). The Act amends section 604(c) of the Fair Credit Reporting Act (15 U.S.C. § 1681b(c)) “to prevent consumer reporting agencies from furnishing consumer reports under certain circumstances.”...By: McGlinchey Stafford
Organizational Culture: The Key to Reducing Fraud Risk
Broadly defined, culture refers to the invisible belief systems, values, and norms that guide individuals’ behavior. An organization’s culture, therefore, encompasses the shared values, beliefs, and behaviors that shape the organization, guide its operations, and influence how employees interact with one another and with external stakeholders. Organizational theorist Edgar Schein defined organizational culture as a series of assumptions individuals make about the groups to which they belong —...By: J.S. Held
HPE Europe 2025: What to know, what’s next
On September 25, hundreds of healthcare professionals, investors, and industry changemakers gathered in London for McDermott Will & Schulte’s annual Healthcare Private Equity (HPE) Europe conference. Keynote speakers Steph McGovern and Robert Peston, hosts of the hit UK podcast The Rest Is Money covering money, politics, and the markets, kicked off a high-impact event with remarks from the main stage at the Hyde Park-adjacent Peninsula hotel....By: McDermott Will & Schulte
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