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[Audio] Lions, Tigers, and Sovereign Citizens, Oh My! UCC and Banking Litigation Trends and a 2026 Forecast — The Consumer Finance Podcast
In this episode of The Consumer Finance Podcast, Chris Willis is joined by Troutman Pepper Locke Partners Heryka Knoespel and Mary Zinsner for a year-in-review and look-ahead tour through the sometimes wild world of UCC and banking litigation. From check cashers and sovereign citizens to elder financial exploitation, the panel unpacks the major trends banks faced in 2025, including a steady stream of retail deposit disputes and increasingly inventive plaintiff theories to recover funds — often...By: Troutman Pepper Locke
The “Accredited Investor” Definition: The SEC Appears Poised to Both Loosen and Tighten It
The SEC staff has continued to update, refine, and supplement the staff’s longstanding Compliance and Disclosure Interpretations (CD&Is) at a rapid pace to reflect the SEC’s current priorities. Earlier this year, the SEC posted new Securities Act CDIs regarding “integration” issues generally in connection with exempt offerings under Regulation D......By: Proskauer - Regulatory & Compliance
CRD VI and Cross-Border Lending – EU Branch Requirements
The EU Capital Requirements Directive 2013/36/EU ("CRD") is one of the main pillars of the European banking regulatory landscape. It addresses access to banking activities, supervisory powers, and governance matters, whilst detailed capital requirements applicable to EU banks are set out in the companion Capital Requirements Regulation (EU) No 575/2013 ("CRR"). The latest amendment to the CRD, CRD VI (Directive (EU) 2024/1619), was enacted in 2024 and concerns multiple topics, including updates...By: King & Spalding
[Video] Daily Compliance News: March 12, 2026, The All Corruption Edition
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional. Top stories include: • Top 10 most corrupt states in the US. (How...By: Thomas Fox - Compliance Evangelist
SEC Extends Section 16(a) Reporting to FPI Directors and Officers and Grants Conditional Relief in Six Jurisdictions
The SEC has adopted a final rule implementing the Holding Foreign Insiders Accountable Act that, effective March 18, 2026, subjects directors and officers of foreign private issuers to the insider ownership reporting regime of Exchange Act Section 16(a) on Forms 3, 4, and 5. In a coordinated action, the SEC also issued a conditional exemptive order that relieves directors and officers of FPIs organized in Canada, Chile, the European Economic Area, the Republic of Korea, Switzerland, and the...By: Foley Hoag LLP - Public Companies & the Law
OCC Finalizes Amendments to Affirm the Authority of National Trust Banks to Engage in Non-Fiduciary Activities
On March 2, 2026, the Office of the Comptroller of the Currency (OCC) finalized amendments to its existing rule on national bank chartering to affirm the authority of national trust banks to engage in non-fiduciary activities, including certain custody and safekeeping activities. The final rule adopts the revisions contained in the OCC's Notice of Proposed Rulemaking (NPR), issued on January 12, 2026, without change....By: Stinson LLP
SEC Adopts Final Rules on Section 16 Reporting by Foreign Private Issuers and Offers Conditional Relief
The recently enacted Holding Foreign Insiders Accountable (HFIA) Act was designed to make the holdings and transactions of directors and officers of foreign private issuers (FPIs) more transparent. Our Securities Group breaks down the Securities and Exchange Commission’s final rules and follow-on order that exempts a specific group of FPI directors and officers....By: Alston & Bird
In re The Container Store Group: Texas District Court Upholds Validity of Opt-Out Third-Party Release
On February 12, 2026, Judge Lee Rosenthal of the United States District Court for the Southern District of Texas upheld an opt-out third-party release provision contained in The Container Store Group, Inc.’s chapter 11 plan, which deemed those who did not affirmatively elect to preserve claims against non-debtors to have released those claims....By: Cadwalader, Wickersham & Taft LLP
FATF Targeted Report On Stablecoins And Unhosted Wallets
The Financial Action Task Force (FATF) has issued a targeted report setting out the money laundering (ML), terrorist financing (TF) and proliferation financing (PF) risks and vulnerabilities related to stablecoins and unhosted wallets, particularly during peer-to-peer (P2P) transactions. In addition, the report identifies and shares a range of good practices that could be implemented by jurisdictions and the private sector to mitigate these risks and makes recommendations for implementation....By: A&O Shearman
Treasury Outlines Innovation Roadmap for Countering Illicit Finance in Digital Assets
The U.S. Department of the Treasury (Treasury) has delivered to Congress the report on Innovative Technologies to Counter Illicit Finance Involving Digital Assets, as required by the Guiding and Establishing National Innovation for U.S. Stablecoins (GENIUS) Act....By: Troutman Pepper Locke
ESMA Final Draft RTS On Margin Transparency Requirements And Clearing Costs
The European Securities and Markets Authority (ESMA) has published two final reports with final draft regulatory technical standards (RTS) mandated under the review of the European Market Infrastructure Regulation (EMIR 3). Both reports were consulted on in June 2025....By: A&O Shearman
Pennsylvania Court Says Wealth Management Group’s Non-Solicitation Agreements Unenforceable: Top 3 Takeaways for the Financial Services Industry
A recent non-precedential decision from the Pennsylvania Superior Court offers financial services businesses and professionals in the wealth management sector key lessons on restrictive covenants and client transitions. In a February 18 ruling, a three-judge panel denied an investment advisory business’s request for an order enforcing its non-solicitation agreements with three financial advisors who resigned to join a competitor. We’ll explain what happened and provide the top three takeaways...By: Fisher Phillips
UK Whistleblowing Updates
Under Part IVA of the Employment Rights Act 1996, “protected disclosures”– which is the UK legislative term for “whistleblowing reports”can be made either to an employer or to certain “prescribed persons”. For those working in the financial services sector, for example, the UK Financial Conduct Authority (FCA) is a prescribed person....By: Akin Gump Strauss Hauer & Feld LLP
Key Trends and Developments from the Bond Markets During 2025: What Directors Need to Know
In the current uncertain economic environment, navigating complex capital and credit market conditions has become a core pillar of effective corporate stewardship. Boards of directors (responsible for enterprise-wide risk oversight) and management (in charge of day-to-day operations) are faced with increased challenges, tackling variable interest and inflation rates, expanding artificial intelligence (AI) related......By: Akin Gump Strauss Hauer & Feld LLP
UK FCA Opens Authorisation Gateway For Targeted Support And Confirms Final Rules
The UK Financial Conduct Authority (FCA) has announced it has opened the authorisation gateway for targeted support, enabling firms to apply for permission to provide a new regulated form of support. From 6 April, authorised banks, pension providers and other financial firms that are authorised for targeted support will be able to offer tailored recommendations to groups of consumers with common characteristics, particularly in relation to pensions and investments....By: A&O Shearman
From Statute to Supervision: Preparing for New York's New BNPL Regulatory Regime
Gov. Kathy Hochul and the New York Department of Financial Services (DFS) on February 23, 2026, issued a Draft Proposal that would, for the first time, establish a comprehensive regulatory framework for buy-now-pay-later (BNPL) lenders operating in New York. The Draft Proposal would take effect 180 days after publication of the Notice of Adoption in the State Register....By: Holland & Knight LLP
Troutman Pepper Locke Weekly Consumer Financial Services Newsletter – March 2026 #2
To keep you informed of recent activities, below are several of the most significant federal events that have influenced the Consumer Financial Services industry over the past week....By: Troutman Pepper Locke
Shift in U.S. Cyber Strategy: What the White House's New Offensive Cyber Posture Signals for Businesses
For years, U.S. cybersecurity policy has largely followed a familiar formula: strengthen defenses, share threat intelligence, and improve resilience after attacks occur. But as ransomware gangs cripple hospitals, nation-state actors target critical infrastructure, and cybercrime increasingly operates at a global scale, policymakers have begun to question whether defense alone is enough. The White House's newly released Cyber Strategy for America (the Strategy) signals a notable shift in...By: Baker Donelson
IRS Releases Proposed Regulations on Crypto Information Reporting
On March 5, 2026, the IRS issued proposed regulations (the Proposed Regulations) setting forth an alternative process for digital asset brokers to obtain consent from customers to receive Form 1099-DA statements electronically. This alternative process provided in the Proposed Regulations is meant to alleviate administrative tax compliance burdens for digital asset brokers....By: Troutman Pepper Locke
Oregon’s DIDMCA Opt-Out Legislation Heads to the Governor’s Desk
As we recently reported, in the wake of the Tenth Circuit’s decision in National Association of Industrial Bankers v. Weiser, 159 F.4th 694 (10th Cir. 2025), Oregon legislators re‑introduced H.B. 4116—legislation designed to opt Oregon out of Section 521 of the Depository Institutions Deregulation and Monetary Control Act of 1980 (DIDMCA). H.B. 4116 aims to prohibit out‑of‑state, FDIC‑insured, state-chartered banks from making consumer finance loans of $50,000 or less to Oregon borrowers using...By: Ballard Spahr LLP
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