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FCA shares findings on authorisation and registration applications - With documentation of robust policies a particular area for improvement
The FCA has shared examples of good practice and areas for improvement from the applications for authorisation or registration that it has seen. The focus is on how firms demonstrate in their applications that they have appropriately skilled and experienced staff, robust policies for processes and procedures, and financial resources commensurate with the nature and scale of their business....By: Hogan Lovells
OCC’s Gould seeks to revamp post-2008 banking risk tolerance frameworks
On September 10, the Comptroller of the Currency, Jonathan V. Gould, released his remarks to the U.S. Financial Stability Oversight Council to review the post-2008 chartering, regulatory and supervisory framework for the federal banking system....By: Orrick, Herrington & Sutcliffe LLP
Senate Advances Market Structure Draft, SEC–CFTC Issue Joint Statement, OCC Releases Debanking Guidance and Nasdaq Files Proposal for Tokenized Securities
With Congress coming back into session after the August recess, digital asset policy developments accelerated across Congress and the federal regulatory agencies. Certain senators released an updated draft of the Responsible Financial Innovation Act of 2025, while other senators introduced guiding principles....By: Paul Hastings LLP
UK SMCR Reform: Consultations, Proposals and Next Steps
September 2025 Executive Summary The UK government and regulators are conducting the most wide‑ranging review of the Senior Managers & Certification Regime (SMCR) since its introduction. Consultations close: 7 October 2025....By: Proskauer - Regulatory & Compliance
The Safe Harbor That Wouldn’t Go Away
The Department of Labor’s Employee Benefits Security Administration (EBSA) tried to play cleanup with the rulebook and instead found out that sometimes the “old” rules are still needed. After floating the idea of removing certain safe harbors — including guidance on selecting annuity providers and the definition of plan assets — EBSA has now backed off after receiving significant adverse comments....By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
[Video] Compliance Tip of the Day - Why Compliance Professionals Should Not Overlook Board Oversight
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, our goal is to provide you with concise, actionable tips to help you stay ahead in your compliance efforts. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep...By: Thomas Fox - Compliance Evangelist
Curewell Closes Inaugural Fund With $535 Million
Curewell Capital has announced the closing of its inaugural fund. The fund, Curewell Capital I, closed at its hard cap of $535 million....By: McGuireWoods LLP
The White Collar Appeal: Second Circuit Eliminates Barriers to Prosecuting Overseas Conduct Under the Commodities Exchange Act
In a case of first impression in the Courts of Appeals, the Second Circuit recently examined when the government may prosecute extraterritorial conduct under the Commodities Exchange Act....By: Quinn Emanuel
Australia: A Seat at the Table–What Does the Government’s Economic Reform Roundtable Mean for Superannuation Fund Trustees?
From 18–21 August 2025, the Australian Government (Government) hosted the Economic Reform Roundtable with industry and government leaders to explore reforms aimed at boosting productivity, resilience, and budget sustainability....By: K&L Gates LLP
What is the GENIUS Act?
The Guiding and Establishing National Innovation for U.S. Stablecoins Act (GENIUS Act) is the United States’ first comprehensive federal law governing payment stablecoins—digital tokens designed to hold a fixed value (typically $1) and used for payments. After passing the Senate on June 17, 2025 (68–30) and the House on July 17, 2025 (308–122), it was signed into law in July 2025, marking the first major federal framework for a crypto asset class....By: Kohrman Jackson & Krantz LLP
CFTC Withdraws Guidance on Carbon Credits
On September 10, 2025, the Commodities Futures Trading Commission withdrew guidance--promulgated by the Biden Administration in September 2024--concerning the market for voluntary carbon credits. Specifically, the CFTC stated that it was withdrawing the voluntary carbon credit guidance because it “provides limited value” and because it “placed a disproportionate focus on a particular class of derivative contracts”--i.e., contracts concerning carbon credits......By: Mintz
Do or Do Not, There is No Tri and Earning Your Pinstripes
Auto dealer Tricolor files for bankruptcy, moves to liquidate | Reuters - The auto dealer moved to liquidate its business on Wednesday, one day after Fifth Third Bank announced that it had discovered alleged fraudulent activity....By: Seward & Kissel LLP
Changes Afoot With the OCC's Approach to Crypto
On September 10, 2025, Comptroller of the Currency Jonathan Gould spoke at the CoinDesk Regulation and Policy Conference in Washington, D.C. His comments were particularly noteworthy as they reflect the significant policy differences between this and the prior Administration regarding cryptcurrency and blockchain technology. Similar themes were included in Comptroller Gould's September 10 remarks to the Financial Stability Oversight Council. We note those points below and comment on each of...By: Davis Wright Tremaine LLP
Connecticut Tackles Several Real Estate Matters with New Legislation
The Connecticut General Assembly 2025 Regular Session concluded on June 4, 2025, and with it came the passage of several public acts of interest to real estate professionals. Below is a summary of some of those newly enacted laws....By: Harris Beach Murtha PLLC
US-Japan Trade Agreement Update on Tariff Reductions and $550 Billion Investment Fund
On July 22, President Trump announced that the United States and Japan had reached a bilateral trade agreement....By: ArentFox Schiff
Food Venture Financing News – Weekly Issue No. 252
Food Venture Financing Trends - Orchard Robotics, an agtech startup, has raised a $22 million Series A round....By: Davis Wright Tremaine LLP
Wisconsin Supreme Court to Hear NBA Preemption Case
The Wisconsin Supreme Court recently granted a petition for review of a Wisconsin Court of Appeals decision holding that the National Bank Act (NBA) does not preempt the Wisconsin Consumer Act’s notice of default and right-to-cure requirement. As a published decision, Riffard v. Bank of America is binding precedent in Wisconsin unless reversed by the Wisconsin Supreme Court....By: Husch Blackwell LLP
[Video] AI Today in 5: September 15, 2025, The AI as ABC Minister Episode
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, so 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: • Albania appoints AI as the first Minister of ABC. (BBC):...By: Thomas Fox - Compliance Evangelist
[Video] FCPA Compliance Report - Suhail Motwani on Balancing Oversight and Autonomy in a Best Practices Compliance Program
Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, join Tom as he interviews Suhail Motwani from FTI Consulting on the FCPA Compliance Report. Suhail, a Senior Director in risk advisory and investigations, shares insights from his article ‘Navigating the Compliance Paradox. They discuss the challenges of balancing global oversight with local adaptation in compliance frameworks, emphasizing the importance of a hybrid model for...By: Thomas Fox - Compliance Evangelist
[Video] Daily Compliance News: September 15, 2025, The AI CCO 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: • First AI CCO. (BBC) :...By: Thomas Fox - Compliance Evangelist
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