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FinCEN’s Investment Adviser Rule will, as of January 1, 2026, require certain investment advisers to implement and maintain AML/CFT compliance programs and monitor for and report suspic...
The SEC announced the settlement of enforcement actions against seven companies, stemming from the use of employment and related agreements that allegedly violated Dodd-Frank whistleblowe...
Proposals to delay compliance deadlines in California’s three landmark climate-related disclosure laws failed to pass during the recently concluded legislative session, while a modest s...
On 3 September 2024, the EU Court of Justice ruled that EU Member States cannot refer transactions to the European Commission if those transactions are not caught by their own national me...
In Varian, the first case to consider the validity of a Treasury regulation after Loper Bright (in which the U.S. Supreme Court rejected the longstanding Chevron doctrine), the Tax Court ...
The FDIC’s proposed amendment to its CIBCA regulations would give the FDIC greater oversight of investments by non-bank investors in holding companies of FDIC-supervised institutions. ...
In this issue we discuss, among other things, amended reporting requirements for registered funds and SEC guidance regarding open-end fund liquidity risk management programs, as well as r...
A federal district court judge in Texas blocked the FTC’s rule banning non-competes nationwide. Absent extraordinary circumstances, the FTC’s rule will not go into effect on Septembe...
The FDIC’s proposed brokered deposit rule would expand the definition of deposit broker and eliminate and narrow exceptions. Changes would affect sweep deposit and fintech arrangements.
DOJ’s new pilot program that will reward whistleblowers for reporting certain corporate or financial misconduct to the DOJ contains a number of significant surprises, including who is e...