News from the economy, politics and the financial markets
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Fed Signals Fraud a Top Priority in Special Compliance Outlook Issue
The Federal Reserve (Fed) has devoted its entire Second Issue 2025 of Consumer Compliance Outlook (Outlook) to fraud – a rare, single-topic focus that underscores regulators’ and industry’s heightened concern for addressing financial fraud....By: Cooley LLP
OCC elevates chartering function, signals openness to de novo banks, mergers, and stablecoin issuers
On September 9, the OCC announced it had elevated and renamed its chartering and licensing function, naming Stephen Lybarger as Senior Deputy Comptroller for Chartering, Organization and Structure. Lybarger will oversee licensing for national banks, federal savings associations, payment stablecoin issuers, and structural proposals, coordinating with OCC legal and supervisory staff....By: Orrick, Herrington & Sutcliffe LLP
Staff of CFTC and SEC Issue Joint Statement on Certain Crypto Asset Products
On September 2, 2025, the Securities and Exchange Commission (SEC) Division of Trading and Markets and the Commodity Futures Trading Commission (CFTC) Divisions of Market Oversight and Clearing and Risk (Divisions) issued a joint statement (Joint Statement) announcing a cross-agency initiative to coordinate efforts in enabling “certain spot crypto asset products” to trade on regulated exchanges....By: Morgan Lewis
California appellate court rules font size violation alone sufficient for Rosenthal Act standing
On September 9, a division of the California Courts of Appeal reversed a summary judgment in favor of a debt collector, holding that a violation of the Rosenthal Fair Debt Collection Practices Act (the Rosenthal Act) based on the font size of the company’s debt collection notice is sufficient to confer standing for statutory damages, even absent actual injury....By: Orrick, Herrington & Sutcliffe LLP
Fifth Circuit upholds OCC enforcement action, finding Jarkesy ruling does not bar in-house proceedings
On September 8, the U.S. Court of Appeals for the Fifth Circuit denied a petition for review brought by two former executives of a failed Texas bank, upholding industry bans and $250,000 in civil penalties imposed by the OCC....By: Orrick, Herrington & Sutcliffe LLP
Impact of PILOT Agreement on Tax Appeal Refunds
The gigantic American Dream Mall located in East Rutherford, New Jersey challenged its tax assessments for the years 2019-2025 before the New Jersey Tax Court. ...By: Pullman & Comley - For What It May Be Worth
Trump to appeal judge’s decision blocking him from firing Lisa Cook from Federal Reserve Board
President Trump is appealing a federal judge’s decision that blocked him from firing Lisa Cook from the Federal Reserve Board....By: Ballard Spahr LLP
NYDFS issues request for information on overdraft fees, compliance costs, and consumer communications
On September 5, NYDFS issued a request for information (RFI) seeking further information from state-chartered banks, credit unions, and other stakeholders regarding overdraft and insufficient funds-related policies, procedures, costs and revenues....By: Orrick, Herrington & Sutcliffe LLP
Management Corner: Restrictive Covenant Considerations for Executives in Corporate Transactions
In July 2025, we published an article that discussed considerations relating to rollover and incentive equity in management representations in private equity transactions....By: Morgan Lewis - ML Benefits
Strategy and Deal Making: Understanding the Nuances of the Buy Side Approach
When it comes to today’s deal market, no two buyers approach acquisitions in the same way. For companies exploring a sale, or for boards weighing offers, understanding the distinct perspectives and motivations of private equity (PE) firms vs. strategic buyers is a key component in the decision-making process....By: Offit Kurman
Nasdaq Proposes To Tighten Listing Standards and Add Special Requirements for China-Based Companies
On Sept. 3, Nasdaq submitted proposals to the U.S. Securities and Exchange Commission (SEC) to modify its initial and continued listing standards, with the stated aim of improving market integrity, investor protection, and liquidity. The proposed changes reflect Nasdaq’s ongoing response to address key liquidity and trading concerns of companies in today’s capital markets environment, particularly in the context of securities issued by smaller companies and companies operating in China....By: Lowenstein Sandler LLP
[Video] Compliance Tip of the Day - Using Your ABC Framework to Prevent Fraud Waste and Abuse
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, our goal is to provide you with bite-sized, actionable tips to help you stay ahead in your compliance efforts. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep...By: Thomas Fox - Compliance Evangelist
[Audio] Point-of-Sale Finance Series: Innovations, Regulations, and Future Trends of Modern Credit Cards — The Consumer Finance Podcast
In this crossover episode of The Consumer Finance Podcast and Payments Pros, Jason Cover is joined by Mark Furletti, Taylor Gess, and Jeremy Sairsingh to discuss the intricate world of credit cards. Whether plastic, metal, or digital, credit cards have significantly evolved over time, along with their regulations. This episode examines the historical roots, modern functionalities, and the regulatory landscape that governs credit cards. Discover how innovations like buy now, pay later models are...By: Troutman Pepper Locke
Healthcare & Life Sciences Private Equity Deal Tracker: Bain Capital Acquires UST HealthProof
Bain Capital has acquired UST HealthProof from UST, according to a news release. UST HealthProof is a provider of technology-enabled services and solutions for health plans....By: McGuireWoods LLP
UK Supreme Court Clarifies Law on Commissions: Hopcraft v. Close Brothers
Introduction On 1 August 2025, the UK Supreme Court delivered its judgment in Hopcraft and another v. Close Brothers Limited, a case with far-reaching implications for retail financial services at large....By: Cooley LLP
D.C. Targets Crypto ATM Operator for Scamming District Seniors and Residents
On September 8, 2025, the District of Columbia Office of the Attorney General filed suit in D.C. Superior Court against Athena Bitcoin, Inc. (Athena), one of the nation’s largest Bitcoin ATM (BTM) operators, for allegedly scamming District residents, and in particular, the District’s elderly population....By: McGlinchey Stafford
OCC Announces That Debanking Practices Will Be Scrutinized During Bank Licensing and Community Reinvestment Reviews
On September 8, 2025, the Office of the Comptroller of the Currency (OCC) released Bulletin 2025-22, announcing that the OCC will assess an entity’s debanking practices when considering licensing filings and applications and during Community Reinvestment Act (CRA) assessments. National banks and federal savings associations are now on notice that prior allegations of politicized or unlawful debanking levied by consumers, as well as any current efforts undertaken to prevent debanking from...By: Bradley Arant Boult Cummings LLP
Demystifying the Fundraising Process—From First Meeting to Closing the Deal
For founders, the fundraising process can feel like a black box that is more art than science and full of jargon, shifting timelines, and high stakes. Yet, understanding the typical steps and expectations can make the difference between a smooth capital raise and a frustrating, drawn-out ordeal that risks your company's ability to grow....By: Baker Botts L.L.P.
[Video] All Things Investigations - FinCEN’s Recent Actions: Existential Threat for Financial Institutions in Mexico
Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast, All Things Investigation. In this podcast, host Tom Fox welcomes back Jeremy Paner and Diego Durán de la Vega to discuss recent FinCEN enforcement actions targeting three Mexican financial institutions. The conversation explores the implications of these actions under the Fend Off Fentanyl Act, the evolving regulatory landscape, and the existential risks facing financial institutions operating in...By: Thomas Fox - Compliance Evangelist
[Video] AI Today in 5: September 11, 2025, The Cruz Sandbox AI Episode
Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI, so start your day, sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5, all from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest related to AI. Top AI stories include: • Navigating the path to AI compliance. (BDO) • AI and ML...By: Thomas Fox - Compliance Evangelist
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