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Regulatory Deadlines
HISA Enforcement Rule Modification
Rule effective Sep. 26 FTC | FCPA/ABAC, BSA/AML, Consumer Lending | Notice
Streamlining DOJ Acquisition Regulations (JAR)
Rule effective Sep. 02 DOJ | FCPA/ABAC, BSA/AML, Consumer Lending | Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Rule effective Aug. 29 SEC | FCPA/ABAC, BSA/AML, Consumer Lending | Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Rule effective Aug. 29 SEC | FCPA/ABAC, BSA/AML, Consumer Lending | Rule
Privacy Act of 1974; System of Records
Rule effective Aug. 24 HUD | FCPA/ABAC, BSA/AML, Consumer Lending | Notice
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How automation, AI are changing the compliance officer role

Bank Automation News 08/08/2022
The role of the chief compliance officer (CCO) at financial institutions has evolved as technology, automation and access to data present new opportunities and challenges for executives. “Today’s compliance officer faces that very burdensome…
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Activity-based regulation will not guarantee level playing field

Central Banking 08/08/2022
Activity-based regulation may still need to be tailored on an entity level to ensure a level playing field in the financial services industry, researchers at the Bank for International Settlements argue…
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What the Senate’s sweeping climate, tax package means for banks

American Banker 08/08/2022
The Inflation Reduction Act of 2022 was passed in a party-line vote of 51-50 on Sunday using the budget reconciliation process, which is exempt from the Senate’s 60-vote-threshold filibuster. Democratic senators were joined by Vice President Kamala Harris’s tiebreaking…
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Regulation of Digital Finance: What does the EU Regulation of Markets in Crypto-Assets (MiCA) mean?

Finextra 07/08/2022
Digital finance has no doubt transformed the traditional way of providing banking and financial services, enabling greater access to financial services, offering wider choice and increasing efficiency of operations. In the European Union (EU) the use of innovative technologies…
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Welcoming the Universal Proxy

Harvard 08/08/2022
The new rules contain only slight modifications from rules the SEC first proposed in October 2016. When the SEC reopened the public comment period in 2021, members of Sidley’s Shareholder Activism & Corporate Defense Practice sent a formal comment…
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