News from the economy, politics and the financial markets
In this section of our news section we provide you with editorial content from leading publishers.
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Sanctions in a Snap: Developments in Sanctions - November 2025
Hughes Hubbard’s “Sanctions in a Snap” provides a clear and concise summary of recent developments from the United States' Office of Foreign Assets Control (OFAC) and the European Union and its Member States. The U.S. edition is designed to help you quickly assess U.S. economic sanctions compliance risks in light of current government designation and enforcement priorities. While the EU edition covers European economic sanctions and export controls risks against the current EU regulatory...By: Hughes Hubbard & Reed LLP
EBA Factsheet on Implications of EU AI Act for Banking and Payments Sector
The European Banking Authority (EBA) has published a fact sheet summarising the findings from its 2025 mapping exercise on the interaction between the EU AI Act (Regulation EU 2024/1689) and existing banking and payments legislation. This includes the Capital Requirements Regulation (575/2013), the Consumer Credit Directive (2008/48/EC), the Mortgage Credit Directive (2014/17/EU) and the Payment Services Directive ((EU) 2015/2366)....By: A&O Shearman
CFPB Signals Major Shift in Exam Approach With New “Humility Pledge”
On November 21, the CFPB announced changes to how its Supervision Division will conduct examinations, including a new “Humility Pledge” that examiners must read to supervised entities at the start of each review. The Bureau stated that the updated approach reflects its commitment to operating within its statutory authority and aligns with the Memorandum on Supervision and Enforcement Priorities issued in April 2025 (previously discussed here)....By: Sheppard Mullin Richter & Hampton LLP
Implementing Regulation Updating ITS on Joint Decision Process for Internal Models Authorisation Under CRR Published in OJ
Commission Implementing Regulation (EU) 2025/2338 (Amending Regulation) has been published in the Official Journal of the European Union. The amendments update the implementing technical standards (ITS) under Commission Implementing Regulation (EU) 2016/100, which govern the joint decision process for competent authorities when granting permission to use internal models for credit risk, counterparty credit risk and market risk for prudential purposes for certain entities in banking groups, as...By: A&O Shearman
Blue-State AGs Tap Rohit Chopra to Lead Consumer Protection Working Group
As reported by Bloomberg, the Democratic Attorneys General Association (DAGA) has hired Rohit Chopra, former Director of the Consumer Financial Protection Bureau (CFPB or Bureau), to lead a new Consumer Protection and Affordability Working Group within DAGA’s policy arm. The move was announced as a coordinated, state-led response to rising living costs and widespread fraud, with a policy agenda that spans financial services, technology, and health care....By: Troutman Pepper Locke
Washington DFI Seeks License Revocation and Industry Ban After Alleged Uniform Money Services Act Violations
On November 25, the Washington Department of Financial Institutions (DFI) issued a Temporary Order to Cease and Desist and a Statement of Charges against a virtual-currency kiosk operator, alleging violations of the Uniform Money Services Act arising from its Washington money-transmission activities. The agency alleges that the company engaged in unsafe and unsound practices and failed to safeguard customer funds....By: Sheppard Mullin Richter & Hampton LLP
ECB Publishes TIBER-EU SSM Implementation Guide Under DORA
The European Central Bank (ECB) has published its guide on implementing the Threat Intelligence-based Ethical Red Teaming (TIBER-EU) framework for mandatory threat-led penetration testing (TLPT) of significant institutions under the Digital Operational Resilience Act (DORA). Under Articles 26 and 27 of DORA, significant institutions must conduct advanced operational resilience testing by means of TLPT at least every three years....By: A&O Shearman
[Video] From the Editor’s Desk: Compliance Week’s Insights and Reflections for November and into December 2025
In this episode of ‘The Editor’s Desk’ podcast, hosts Tom Fox and Aaron Nicodemus delve into key compliance issues featured in Compliance Week. Tom and Aaron discuss top stories from Compliance Week in November, look at stories that will appear in December, and provide a preview of upcoming content and events in January and beyond. They discuss FCPA investigations closed under the Trump administration and the implications for compliance professionals. Aaron highlights stories from Compliance...By: Thomas Fox - Compliance Evangelist
Third‑Party AI: The Blind Spot in Governance
Ask any board if AI is on the agenda, and the answer is yes. Ask how confident they feel about their vendors’ use of AI, and the answer is less clear....By: Mitratech Holdings, Inc
[Video] Compliance and AI: Navigating the Challenges and Opportunities of Agentic AI in Compliance
What is the intersection of AI and compliance? What about Machine Learning? Are you using ChatGPT? These questions are just three of the many we will explore in this cutting-edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. Today, the Everything Compliance gang, led by Dr. Hemma Lomax, is considering how to navigate the challenges and opportunities of agentic AI in compliance. In this episode, we explore the rapidly evolving landscape of Agentic...By: Thomas Fox - Compliance Evangelist
UK FCA Consults on Improving the UK Transaction Reporting Regime
The UK Financial Conduct Authority (FCA) has published consultation paper CP25/32 setting out proposals to improve the UK transaction reporting regime under the Markets in Financial Instruments Regulation (MiFIR). HM Treasury previously confirmed that assimilated law (law inherited from the EU at the point of Brexit) in this area will be repealed, enabling the FCA to deliver a more streamlined framework aimed at reducing the regulatory burden on firms and increasing the FCA's ability to fight...By: A&O Shearman
Democratic AGs to Check Out Buy-Now-Pay-Later Companies
Seven Democratic AGs, co-led by North Carolina AG Jeff Jackson, sent letters to the six largest Buy-Now-Pay-Later (BNPL) providers seeking information about their lending practices and whether they are complying with state consumer protection laws....By: Cozen O'Connor
Former CFPB Director to Lead New Consumer Protection and Affordability Initiative
On December 2, a non-governmental policy organization affiliated with Democratic state attorneys general announced the formation of a Consumer Protection and Affordability Working Group. The initiative will be supported by participating attorneys general and advised by Rohit Chopra, the former Director of the Consumer Financial Protection Bureau and former Commissioner at the Federal Trade Commission....By: Sheppard Mullin Richter & Hampton LLP
[Video] AI Today in 5: December 5, 2025, The AI Doesn’t Know How to Learn Edition
Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest related to AI. Top AI stories include: • Ex-CTO of Yahoo says AI doesn’t know how to learn....By: Thomas Fox - Compliance Evangelist
State Budget Forecast shows $2.465 Billion Surplus
Minnesota Management and Budget (MMB) today issued the latest Budget and Economic Forecast. For the current budget period FY 2026-2027, there is a projected surplus of $2.465 billion due to what MMB says is a “better-than-expected fiscal year close and higher near-term revenue collections”......By: Winthrop & Weinstine, P.A.
[Video] Compliance Tip of the Day: M&A-Pre-Acquisition: Final Lessons
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice for navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim to provide you with bite-sized, actionable tips to help you stay on top of your compliance game. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your...By: Thomas Fox - Compliance Evangelist
[Video] Daily Compliance News: December 5, 2025, The White Collar Criminal Enterprise 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: • The US lost over $29bn to...By: Thomas Fox - Compliance Evangelist
The SEC Says It Will Not Review No Action Requests for Certain Shareholder Proposals and Approves Exxon Mobil’s Retail Investor Voting Program
On November 17, 2025, the SEC’s Division of Corporation Finance (the “Division”) announced how it will handle requests relating to shareholder proposals under Rule 14a-8. During the 2025-2026 proxy season (until September 30, 2026), the Division will not respond to requests for no action relief received from companies and will not express a view on a company’s reliance on any basis for exclusion of a shareholder proposal under Rule 14a-8, other than no-action requests to exclude a shareholder...By: Cadwalader, Wickersham & Taft LLP
Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 8
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 8, 2025 in order to cover such fees (with a recommendation from IARD to initiate any funds transfer no later than December 4, 2025 in order to allow 2 business days for processing)....By: Foley Hoag LLP
Recent Wins for Plan Sponsors in Response to Plan Forfeitures Litigation
As we previously reported here and here, a recent litigation trend against 401(k) plan sponsors concerns participant claims alleging that the use of plan forfeitures to offset future employer contributions results in a breach of fiduciary obligations even when such forfeiture use is expressly permitted in the plan document....By: Haynes Boone
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