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Posted Date: Tuesday, April 16, 2024
In the Information Age, regulators spend a tremendous amount of time addressing issues dealing with how consumer data is used and disseminated across multiple industries. The following roundup of recent headlines reflects these efforts and the areas where regulators see violations of federal laws intended to guard against data misuse. Read on »
Posted Date: Tuesday, April 9, 2024
There are often so many regulatory developments to count in a given week that many get lost in the shuffle behind more prominent issues. Here is a look at a handful of recent announcements from federal regulators that you may have missed. Read on »
Posted Date: Tuesday, April 9, 2024
The Securities and Exchange Commission recently charged 17 perpetrators for their roles in a $300 million Ponzi scheme targeting more than 40,000 investors, mostly of Latino heritage, in three countries. The scheme involved a Houston-based crypto firm, which was ordered by a Texas district court in September 2022 to cease and desist its illegal activities. Read on »
Posted Date: Friday, April 5, 2024
Artificial intelligence (AI) has opened up new avenues for professionals to advance their business operations or run afoul of federal laws. Two recent orders by the Securities and Exchange Commission (SEC) describe an example of the latter – “AI washing.”
Accused of making false and misleading statements about their use of AI, two firms recently paid $400,000 in civil money penalties to the SEC. Read on »
Posted Date: Tuesday, March 26, 2024
The Securities and Exchange Commission sought a $21 million civil money penalty from Genesis Global Capital, LLC, to settle claims the company failed to register its retail crypto lending products before offering them to the public. Read on »
Posted Date: Friday, March 15, 2024
New rules adopted by the Securities and Exchange Commission will require public companies to disclose climate-related risks related to their operations, as well as the methods and costs involved in mitigating those risks. There is internal opposition to the rules, which passed by a 3-2 commission vote, as well as pushback from trade organizations and lawmakers. Read on »
Posted Date: Tuesday, March 5, 2024
From procedural rule updates to assisting institutions hit by natural disasters, federal regulators undertake a wide scope of activities that do not often make for major news headlines but are impactful nonetheless. Read on »
Posted Date: Friday, March 1, 2024
The Securities and Exchange Commission recently issued $81 million in total fines against 16 financial firms for widespread recordkeeping failures. Examiners determined employees, including some in senior leadership, engaged in “off-channel” communications and the mishandling of electronic correspondence. Read on »
Posted Date: Tuesday, February 13, 2024
A data breach involving a Bank of America third-party service provider may have compromised customers’ personal identifying information, according to a company notice distributed to individuals potentially affected by the incident. Read on »
Posted Date: Tuesday, February 13, 2024
The Federal Financial Institutions Examination Council released principles intended to help member entities determine whether a supervised institution’s residential property valuation practices are adequate for identifying and mitigating discrimination or bias. Read on »
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