News from the economy, politics and the financial markets
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Latest Developments from the Connecticut General Assembly: The Labor and Public Employees Committee Has Spoken (Part Two)
We have written about the General Assembly’s Labor and Public Employees Committee’s final flurry of activity approving and advancing bills out of committee....By: Pullman & Comley - Labor, Employment and
Troutman Pepper Locke Weekly Consumer Financial Services Newsletter – April 2025 # 5
To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week....By: Troutman Pepper Locke
CFPB Shifts Supervision and Enforcement Priorities; Staff Reduction Stayed by Court
On April 16, the CFPB released an internal memo outlining major shifts in its supervision and enforcement priorities, signaling a retreat from several areas of regulatory activity. The next day, the Bureau issued formal reduction-in-force (RIF) notices to numerous employees, notifying them of termination effective June 16....By: Sheppard Mullin Richter & Hampton LLP
Impact of Permanent Establishment Reform for Credit Funds
On 28 April, the UK Government produced draft legislation for consultation as the latest step in the reform of UK rules on transfer pricing, permanent establishments and diverted profits tax. From an asset management perspective, the most controversial part of the reform is the change to the UK domestic definition of a permanent establishment....By: Ropes & Gray LLP
GAO and Senate Democrats to Investigate the CFPB's Recent Staff Reductions
U.S. Sen. Elizabeth Warren (D-Mass.), on behalf of 40 Democratic Senators, wrote a letter to CFPB Acting Director Russell Vought on April 28, 2025, expressing "grave concerns" about the agency's ability to fulfill more than 80 congressionally mandated functions in light of the CFPB's April 17, 2025, Reduction-in-Force (RIF)....By: Holland & Knight LLP
[Video] Great Women in Compliance: Exploring the Future of Compliance - Key Takeaways from Compliance Week 2025
In this episode of Great Women in Compliance, we have a very special episode. Tom Fox joins Lisa Fine, Ellen Hunt and Hemma Lomax for our annual GWIC/FCPA Compliance Report cross-post podcast. We recorded this at Compliance Week 2025. Our discussion centers around the current state of compliance, emphasizing the importance of community and collaboration. The panelists reflect on the vibe of Compliance Week 2025, highlighting keynotes and sessions that underscore the need for ethical...By: Thomas Fox - Compliance Evangelist
Food Venture Financing News - Weekly Issue No. 234
Food Venture Financing Trends - Rebel Foods, an India-based cloud kitchen startup, announced that it raised $25 million from Qatar Investment Authority....By: Davis Wright Tremaine LLP
SFDR 1.5: A New Set of RTS?
The Sustainable Finance Disclosure Regulation (SFDR)¹ has, since becoming effective in March 2021, changed the approach to the establishment and marketing of sustainable investment products in the European Union (EU). Financial market participants (FMPs) have expended significant resources in designing investment products and preparing disclosure documents compliant with the SFDR and the Regulatory Technical Standards (RTS) that have supplemented the SFDR since 1 January 2023......By: Dechert LLP
CFTC Regulation of Binary Event Contracts: A History
Event contracts, which are a type of derivative contract whose payoff is based on a specified event, occurrence, or value, have been area of significant attention in the derivatives markets, with several key developments shaping the landscape in 2024 and continuing into early 2025. In light of the recent focus on event contracts, this paper outlines the history of event contracts regulation by the Commodity Futures Trading Commission (“CFTC” or the “Commission”) and recent regulatory...By: WilmerHale
Deputy Treasury Secretary Provides Key Insights Into CFIUS and Outbound Policy Direction
Potential policy changes could offer opportunities for CFIUS filers in low-risk transactions while introducing added challenges for transaction parties linked to sensitive countries....By: Latham & Watkins LLP
[Video] Innovation in Compliance: Training Synergy: Insights from Compliance and HR Integration with Lori Stahl
Innovation comes in many areas, and compliance professionals must be ready for and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This series is introduced by Tom Fox and hosted by Roxanne Petraeus. The sponsor of this special five-part series on Innovation in Compliance is Ethena. In this episode, Roxanne Petraeus visits with Lori Stahl, Chief People Officer at Synaptics...By: Thomas Fox - Compliance Evangelist
Top Ten Regulatory and Litigation Risks for Private Funds in 2025
Confession: writing this in May 2025, we cannot predict with confidence what the rest of 2025 will bring. The year has already seen four months of change and upheaval – political, regulatory, and economic. The new US administration has touted a business-friendly regulatory environment, with actual and promised tax cuts and deregulation......By: Proskauer - The Capital Commitment
NYC Pension Funds Signal Growing Commitment to Renewable-Focused Investment Strategy
New York City’s latest proposal to adjust its pension fund investment strategy reflects a broader institutional pivot toward long-term sustainability and climate resilience. Comptroller Brad Lander has introduced a measure that would restrict future private market investments in fossil fuel infrastructure — specifically in midstream and downstream assets such as pipelines, distribution networks, and LNG terminals....By: Baker Botts L.L.P.
M&A Insights Series – Valuation Expectations and Industry Trends: A Conversation with Dave Kakareka of Balmoral Advisors (Part 1)
To help businesses, owners, investors, and deal professionals better understand the evolving M&A market, Robert Connolly – a partner in LP’s Corporate Practice Group and leader of LP’s Independent Sponsor and Private Equity teams – shares a series of conversations with M&A experts. Below is his conversation with Dave Kakareka, Managing Director at Balmoral Advisors, an independent investment banking firm. Dave has over 15 years of experience working with clients to develop and implement mergers...By: Levenfeld Pearlstein, LLC
[Audio] Consumer Finance Monitor Podcast Episode: Private Civil Consumer Financial Services Litigation to Partially Fill CFPB Void - Part 2
The podcast we are releasing today is part 2 of a re-purposed webinar we produced on March 25 titled “The Impact of the Election on the CFPB - Part 4.” As a result of the diminishing impact of the CFPB on enforcing the consumer financial services laws, we expect that void to be filled by state government enforcement agencies and private civil litigation, including class and mass actions. Our webinar focused on private civil litigation. Our featured guest for this webinar was Ira Rheingold,...By: Ballard Spahr LLP
[Audio] AI Legislation: The Statewide Spotlight — The Consumer Finance Podcast
Join us for a special crossover episode of The Consumer Finance Podcast and Regulatory Oversight, where Chris Willis, Kim Phan, and Gene Fishel delve into the evolving world of state AI legislation. As AI becomes a pivotal tool in the financial services industry, understanding the implications of new laws is crucial. This episode focuses on Colorado's comprehensive AI law and its potential influence on other states, exploring key issues such as algorithmic discrimination, privacy, and...By: Troutman Pepper Locke
[Video] Daily Compliance News: May 1, 2025, The 100 Days of Corruption 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 Compliance Podcast Network. Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional. Top stories include: • Elizabeth Warren with 100 days of Trump corruption....By: Thomas Fox - Compliance Evangelist
Client Alert: SEC Provides New Guidance Regarding Accredited Investor Verification in Rule 506© Offerings
Under Rule 506(c) of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”), general solicitation of prospective purchasers is permitted if the issuer takes reasonable steps to verify the purchasers’ accredited investor status. Rule 506(c) enumerates non-exclusive and non-mandatory methods on which issuers can rely to satisfy the verification requirement, or issuers may apply a reasonableness standard directly to the specific facts and circumstances of the particular...By: Shumaker, Loop & Kendrick, LLP
Broker-Dealers, Investment Advisers And Others May Soon Face Enforcement Under the California Consumer Financial Protection Law
In 2020, the legislature enacted the California Consumer Financial Protection Law. The CCFPL significantly expanded the regulatory authority of the the Department of Financial Protection & Innovation by granting it the power to enforce any California or federal consumer financial law pursuant to Financial Code section § 90003(a)(2). Currently, this authority has been exercised with respect to "covered persons", as defined in Financial Code § 90005(f). These include providers of debt...By: Allen Matkins
An Update on Cloud Computing in the Financial Sector
In 2023, we summarized the U.S. Department of Treasury report that raised concerns about the growing reliance of financial institutions (FIs) on cloud computing. Treasury highlighted structural imbalances and regulatory blind spots in the relationship between FIs and cloud service providers (CSPs)....By: Pillsbury - Global Sourcing Practice
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