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Category: Compliance

SEC Settles Investigation of Broker-Dealer for SAR-Related Violations

by on Compliance. Published August 4th, 2021

On May 12, 2021, the Securities and Exchange Commission issued a media release announcing a settlement with a Colorado affiliate […]

Recent Anti-Corruption Legislation and its Potential Impact on Businesses

by on Compliance. Published August 4th, 2021

Legislation intended to fight corruption on a global scale may mean added compliance burdens for US businesses Key takeaways: Multiple […]

Emerging Issues in Intellectual Property Law: 2021

by on Compliance. Published August 4th, 2021

Trending IP Topics: An expanded interpretation of fair use, the possible weakening of patent protections for vaccine makers, and relief […]

The Repeal of the Controversial True Lender Rule

by on Compliance. Published July 28th, 2021

We have written about the “True Lender Rule” many, many, many times. The rule was the US Office of the […]

DOJ Probe of Fintech PPP Lenders Highlights the Need for Compliance Risk Management Enhancements

by on Compliance. Published July 14th, 2021

Recently, Reuters reported that Kabbage Inc. and other fintech firms have been targeted in an investigation led by the civil […]

White House Focuses FSOC Regulators on Climate Change Risks in Banking

by on Compliance. Published June 25th, 2021

Recently, the Biden Administration took another step toward incorporating environmental risk analysis into all financial institution oversight. The new executive […]

House Happenings: Update on Financial Services Legislation

by on Compliance. Published June 24th, 2021

The U.S. House of Representatives recently passed seven bills related to banking and financial services. The one that is likely […]

The FDIC’s Proposed Rule Banning Non-Bank Entities & Private Individuals from Misleading Representations About Deposit Insurance

by on Compliance. Published June 16th, 2021

Last month, the Federal Deposit Insurance Corporation (FDIC) issued a notice of proposed rulemaking and request for information entitled “False […]

Charter or Partnership? The Possible Future of Neobanks

by on Compliance. Published June 16th, 2021

Digital-only, unchartered banking alternatives are winning younger consumers and posing both a threat to—and an opportunity for—traditional banking institutions Key […]

New PPP Compliance Procedures for 2021

by on Compliance. Published March 31st, 2021

The government delegated approval authority to lenders for the first round of Paycheck Protection Program loans in 2020—reflecting the emergency […]