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Category: Compliance

Rules Proposed for Corporate Transparency Act

by on Compliance. Published May 26th, 2022

Congress enacted the Corporate Transparency Act at the end of 2020 as part of the National Defense Authorization Act. See […]

Federal Agencies Signal a Renewed Focus on Cryptocurrency Regulation

by on Compliance. Published April 6th, 2022

Key Takeaways: Despite the explosion in popularity of cryptocurrency in recent years, the industry remains largely unregulated. SEC Chairman Gary […]

The Impact of Smart Contracts on Financial Services and Supply Chain Management

by on Compliance. Published February 17th, 2022

Blockchain-enabled automated contracts have the potential to transform how organizations conduct business—but their universal use faces some obstacles Key Takeaways: […]

Are New Challenges Ahead for the Booming Private Equity Sector?

by on Compliance. Published January 5th, 2022

Insiders are bullish after a record-breaking 2021, but calls for increased regulation are part of the overall forecast. Key Takeaways: […]

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 […]

The Move Toward Federal Data Privacy and Breach Protection Laws

by on Compliance. Published June 30th, 2021

The US still lacks federal legislation comparable to the EU’s General Data Protection Regulation (GDPR), but that may change soon […]