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[Video] Daily Compliance News: October 8, 2025, The Pardons , Pardons and Yet More Pardons 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: • Johnson & Johnson ordered to...By: Thomas Fox - Compliance Evangelist
UK Pensions: What’s New This Week? October 2025
Welcome to your weekly update from the A&O Shearman Pensions team, covering all the latest legal and regulatory developments in the world of workplace pensions....By: A&O Shearman
UK Weekly Sanctions Update - Week of September 29, 2025
In this weekly update, we summarise the most notable updates in the UK sanctions world. IRAN SANCTIONS - UK Government amends one entry on the UK sanctions list under the Iran (Nuclear) regime: On October 3, 2025, the UK Government amended the entry for Europaisch-Iranische Handelsbank AG. This entity remains subject to an asset freeze....By: Mayer Brown
New York State Department of Financial Services Issues Policy Statement on Notice of Satisfaction for Agreements Settlements and Orders
On September 26, 2025, the New York State Department of Financial Services (“DFS”) issued Policy Statement: Notice of Satisfaction of Agreements (the “Policy Statement”), which allows companies that have been subject to an enforcement action or consent order to obtain an official notice that they have fully discharged all the obligations imposed by DFS....By: Mayer Brown
Supreme Court Orders Oral Argument on President's Decision to Remove Federal Reserve Governor Lisa Cook
In an order issued on October 1, the Supreme Court allowed Federal Reserve Governor Lisa Cook to remain in office—leaving in place for now the lower court orders putting on hold President Trump’s decision to remove her. The President had sought to remove Governor Cook “for cause” under the Federal Reserve Act’s for-cause removal provision....By: Mayer Brown
UK PRA Issues Dear CFO Letter on IFRS 9 Expected Credit Losses
The UK Prudential Regulation Authority (PRA) has published a Dear CFO letter to selected deposit-takers providing thematic feedback from its review of written reports from auditors of UK-headquartered banks and building societies. The PRA's focus this year was accounting for IFRS 9 expected credit losses (ECL) and climate risk. The review highlighted several key findings: (i) model risk remains elevated in light of persistent macroeconomic and geopolitical uncertainty, with current credit risk...By: A&O Shearman
FUNDOS EM TRANSFORMAÇÃO - O legado da RCVM 175 e a nova agenda para os FIPs
O mercado de fundos de investimento brasileiro entrou em uma nova etapa desde o término do prazo de adaptação à Resolução nº 175 da Comissão de Valores Mobiliários (“CVM”) (“RCVM 175”), encerrado em 30 de junho de 2025. Em vigor desde 2 de outubro de 2023, a RCVM 175 não apenas modernizou o regime jurídico dos fundos, mas também trouxe maior alinhamento às práticas internacionais e aos princípios da Lei n° 13.874/2019 (“Lei da Liberdade Econômica”)....By: Mayer Brown
Funds in Transformation: The Legacy of RCVM 175 and the New Agenda for FIPS
The Brazilian investment funds market has entered a new stage following the expiration of the adaptation period to Resolution of the Brazilian Securities and Exchange Commission (“CVM”) No. 175 (“RCVM 175”), which ended on June 30, 2025. Having been in effect since October 2, 2023, RCVM 175 has not only modernized the legal framework governing investment funds but also aligned it more closely with international best practices and the principles set forth in Law No. 13,874/2019 (the “Economic...By: Mayer Brown
ESMA Cloud Outsourcing Guidelines Published in All Official EU Languages
The European Securities and Markets Authority (ESMA) has published official translations of its final report updating the 2021 guidelines on outsourcing to cloud service providers. The updated guidelines, initially published in July, narrow the scope to exclude entities covered by the Digital Operational Resilience Act (DORA), ensuring they remain applicable only to financial entities outside DORA's remit, specifically, certain types of depositary under the Alternative Investment Fund Managers...By: A&O Shearman
UK FCA Market Watch 84
The UK Financial Conduct Authority (FCA) has published Market Watch 84, sharing observations on the first year of UK European Market Infrastructure Regulation (EMIR) Refit implementation. The Refit, effective from 30 September 2024, made changes to the UK EMIR reporting regime aimed to enhance transparency and data quality in derivatives reporting. The FCA reports that by the end of the transition period on 31 March, 95% of reports were successfully uplifted, though some counterparties failed to...By: A&O Shearman
UK FCA Publishes Consumer Duty Updates Including in Relation to Wholesale Firms
The UK Financial Conduct Authority (FCA) has published a letter to HM Treasury (HMT), addressing concerns about the consumer duty's application to wholesale firms. While the consumer duty aims to enhance retail consumer outcomes, the FCA clarifies that wholesale activities with minimal retail impact generally fall outside its scope. Following extensive industry engagement, the FCA acknowledges confusion and disproportionate compliance burdens....By: A&O Shearman
EBA 2026 Work Programme for a More Efficient EU Regulatory and Supervisory Framework
The European Banking Authority (EBA) has published its 2026 work programme, setting out its key priorities and planned initiatives. The programme is driven by three overarching priorities: (i) developing a rulebook to foster a resilient and efficient financial single market, with proposals to simplify rules, improve public sector coordination and assess the framework's impact....By: A&O Shearman
UK FCA Research Note on Potential Quantum Computing Applications in UK Financial Services
The UK Financial Conduct Authority (FCA) has published a research note examining the potential applications of quantum computing within UK financial services, and exploring how firms can prepare for their emergence....By: A&O Shearman
Northern District of Illinois Allows Financing Company to Pursue Federal Antitrust Claims
The Northern District of Illinois permitted a financing company to pursue federal antitrust claims after purchasing the claims out of bankruptcy in the case of Olean Wholesale Grocery Cooperative et al v. Agri Stats, Inc. In the litigation, Maines Paper & Food Services was part of a direct-purchasers class-seeking antitrust relief against the turkey processing industry. However, before Maines Paper could see litigation through, the company filed for bankruptcy, and the antitrust claims were...By: Fishman Haygood LLP
New York Amends Voidable Transactions Law for Application to Federal Home Loan Banks
On September 26, 2025, Governor Kathy Hochul of New York signed into law AB 5600 (the Bill), which amends N.Y. Ins. Law §7425 to address the treatment of voidable transfers involving Federal Home Loan Banks (FHLBs), as well as the conduct of parties to delinquency proceedings against New York domiciled insurer-members of an FHLB....By: Troutman Pepper Locke
CFPB Officially Extends Compliance Dates for Section 1071 Rule; New Rulemaking Expected Soon
On October 2, the Consumer Financial Protection Bureau (CFPB or Bureau) published a final rule in the Federal Register, officially extending compliance dates for its 2023 small business lending data collection and reporting rule under the Equal Credit Opportunity Act (ECOA) and Regulation B, which implements Section 1071 of the Dodd-Frank Act. The final rule replaces an interim rule released in June 2025 that pushed back compliance deadlines....By: Troutman Pepper Locke
Choosing Between Financing Instruments for Your Startup
Choosing the right financing instruments early on impacts not only how your cap table evolves, but also your ability to attract subsequent investors and navigate regulatory compliance. The stage that your company is in will play a critical role in the determination of which types of fundraising instruments are most appropriate to use. This article aims to explain the distinctive features of each type of financing instrument to help you chart your course....By: Pillsbury - Propel
Stressing urgency, fired NCUA Democratic board members ask Supreme Court to consider case on expedited basis
The two Democratic NCUA board members ousted by President Trump without cause are asking the Supreme Court to consider their challenge of the firings on an expedited basis....By: Ballard Spahr LLP
Pennsylvania Perspective for Monday, October 6, 2025
PA Treasurer Expands Loan Program Amid Budget Stalemate - State Treasurer Stacy Garrity (R) widened a $500 million low-interest loan initiative to include providers of domestic violence and rape survivor services as the state budget impasse drags on. Advocates warn interest costs could strain essential programs while counties and schools await overdue funding....By: Cozen O'Connor
UK Equity Capital Markets Insights — October 2025
In this edition of UK Equity Capital Markets Insights, we cover the following developments: • FCA Publishes Market Watch 83 - • FCA Consults on Amendments to UK Listing Rule 9 - • FCA Launches Revamped Handbook Website - • FCA Grants First PISCES Approval Notice to the London Stock Exchange-...By: Paul Hastings LLP
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