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Category: Compliance

Cannabis Banking –

by on Compliance. Published November 3rd, 2022

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

by on Compliance. Published October 25th, 2022

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

by on Compliance. Published July 8th, 2022

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

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 Regulations

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 […]