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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...
The FDIC recently finalized two items of guidance for triennial full filer Title I resolution plans (originally proposed last year) and announced the extension of the 2025 resolution plan...
Recent actions underscore key concerns from regulators over the Banking-as-a-Service (BaaS) model and signal that additional guidance may be forthcoming.
In this issue, we discuss a recent enforcement action involving a private fund adviser that allegedly included misleading performance information in advertisements in violation of the Mar...
Report indicates increased focus on mitigation agreement enforcement, broadly steady blocking and investigation rates, longer review timelines in some cases and a decrease in the number o...
With the 2024 Olympics kicking off later this month in Paris, companies should be aware of potential heightened risk and scrutiny around hospitality events related to the Games.