Category: Compliance
Cannabis Banking –
Attorney Nathan McDonald Gives Presentation on Cannabis Banking at Southwest Association of Bank Counsel’s 2022 Annual Conference With more and […]
SEC Collects $1.1 Billion From Major Bank Affiliated Broker Dealers
For Use of WhatsApp and other Record-Keeping Violations On September 27, 2022, the Securities and Exchange Commission announced charges and […]
Bank Compliance: CFPB Resurrects Disparate Impact Theory
After a long hiatus, the Consumer Financial Protection Bureau resumed use of the “disparate impact” theory under its fair lending […]
Rules Proposed for Corporate Transparency Act
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 Regulations
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
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?
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
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
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
Trending IP Topics: An expanded interpretation of fair use, the possible weakening of patent protections for vaccine makers, and relief […]