Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights Featured insights December 1, 2025 Client Update OCC updates BSA/AML examination procedures for community banks The OCC released new Bank Secrecy Act examination procedures to reduce regulatory burdens for community banks, continuing ... October 14, 2025 Client Update Key takeaways from the FDIC and OCC supervisory proposals The FDIC and OCC propose to codify safety and soundness and reputational risk. This update contains our key takeaways, vie... October 13, 2025 Client Update FinCEN and banking agencies release updated SAR guidance FinCEN and the federal banking agencies released new FAQs intended to streamline suspicious activity reporting obligations... August 19, 2025 Client Update Crypto’s integration into the traditional financial system is underway President Trump entered the White House in January 2025 promising to make the United States the “Crypto Capital of the W... July 18, 2025 Client Update GENIUS Act is enacted The President has signed the bipartisan GENIUS Act – a landmark stablecoin bill – into law. Our client update breaks d... July 18, 2025 Client Update GENIUS Act: AML/CFT and sanctions compliance The President has signed the bipartisan GENIUS Act into law. Our client update breaks down the AML/CFT and sanctions compl... See more insights October 8, 2013 Client Update FINRA Issues Notice To Members Discussing Examination Findings Regarding the Revised Suitability Requirements As the second anniversary of FINRA Rule 2111 rule approaches, FINRA has issued Regulatory Notice to Members 13-31 (the “... October 7, 2013 Client Update SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process On September 18, 2013, the SEC adopted a final rule (the “Final Rule”) establishing a permanent registration scheme to... October 3, 2013 Client Update SEC Issues FAQ Regarding Supervisory Responsibility for Legal and Compliance Personnel On September 30, 2013, the Securities and Exchange Commission issued a staff response to Frequently Asked Questions (“FA... October 2, 2013 Client Update SEC Releases Final Municipal Advisor Registration Rule Part I: Who is a Municipal Advisor? On September 18, 2013, the Securities and Exchange Commission adopted its final rule on the permanent registration of muni... October 1, 2013 Client Update Dodd-Frank Progress Report - October 2013 In the past month, no rulemaking requirement deadlines passed, five rulemaking requirements were proposed and one rule was... September 18, 2013 Client Update Basel Committee and IOSCO Release Final Policy Framework for Uncleared Derivatives Margin The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“I... September 9, 2013 Client Update CFTC Adopts Final Harmonization Rules for Commodity Pool Operators On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted final regulations designed to harmonize ... September 3, 2013 Client Update Dodd-Frank Progress Report - September 2013 Since July 15, 2013, one rulemaking requirement deadline passed, two rulemaking requirements were finalized and no new rul... August 8, 2013 Client Update European Regulatory Snapshot: Remuneration in the Financial Services Industry The move toward stricter regulation of remuneration in the financial services industry in the European Union has resulted ... July 30, 2013 Client Update France Ring-Fences Proprietary Trading Activities On July 27, 2013 , new legislation was promulgated in France aimed at the ring-fencing and regulation of certain banking a... Load More
December 1, 2025 Client Update OCC updates BSA/AML examination procedures for community banks The OCC released new Bank Secrecy Act examination procedures to reduce regulatory burdens for community banks, continuing ...
October 14, 2025 Client Update Key takeaways from the FDIC and OCC supervisory proposals The FDIC and OCC propose to codify safety and soundness and reputational risk. This update contains our key takeaways, vie...
October 13, 2025 Client Update FinCEN and banking agencies release updated SAR guidance FinCEN and the federal banking agencies released new FAQs intended to streamline suspicious activity reporting obligations...
August 19, 2025 Client Update Crypto’s integration into the traditional financial system is underway President Trump entered the White House in January 2025 promising to make the United States the “Crypto Capital of the W...
July 18, 2025 Client Update GENIUS Act is enacted The President has signed the bipartisan GENIUS Act – a landmark stablecoin bill – into law. Our client update breaks d...
July 18, 2025 Client Update GENIUS Act: AML/CFT and sanctions compliance The President has signed the bipartisan GENIUS Act into law. Our client update breaks down the AML/CFT and sanctions compl...
October 8, 2013 Client Update FINRA Issues Notice To Members Discussing Examination Findings Regarding the Revised Suitability Requirements As the second anniversary of FINRA Rule 2111 rule approaches, FINRA has issued Regulatory Notice to Members 13-31 (the “...
October 7, 2013 Client Update SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process On September 18, 2013, the SEC adopted a final rule (the “Final Rule”) establishing a permanent registration scheme to...
October 3, 2013 Client Update SEC Issues FAQ Regarding Supervisory Responsibility for Legal and Compliance Personnel On September 30, 2013, the Securities and Exchange Commission issued a staff response to Frequently Asked Questions (“FA...
October 2, 2013 Client Update SEC Releases Final Municipal Advisor Registration Rule Part I: Who is a Municipal Advisor? On September 18, 2013, the Securities and Exchange Commission adopted its final rule on the permanent registration of muni...
October 1, 2013 Client Update Dodd-Frank Progress Report - October 2013 In the past month, no rulemaking requirement deadlines passed, five rulemaking requirements were proposed and one rule was...
September 18, 2013 Client Update Basel Committee and IOSCO Release Final Policy Framework for Uncleared Derivatives Margin The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“I...
September 9, 2013 Client Update CFTC Adopts Final Harmonization Rules for Commodity Pool Operators On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted final regulations designed to harmonize ...
September 3, 2013 Client Update Dodd-Frank Progress Report - September 2013 Since July 15, 2013, one rulemaking requirement deadline passed, two rulemaking requirements were finalized and no new rul...
August 8, 2013 Client Update European Regulatory Snapshot: Remuneration in the Financial Services Industry The move toward stricter regulation of remuneration in the financial services industry in the European Union has resulted ...
July 30, 2013 Client Update France Ring-Fences Proprietary Trading Activities On July 27, 2013 , new legislation was promulgated in France aimed at the ring-fencing and regulation of certain banking a...