Tag Archives: Compliance

Legal Compliance Challenges in the Oil & Gas Industry

In this panel discussion, Kate Page of TransCanada and Jessica Tran of Trans Mountain Corporationwill share insights on how the regulatory compliance program at their organizations has evolved with time, the hurdles they faced, and some best practices to achieve thorough … Continue reading

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Regulatory Compliance for Cryptocurrency Businesses

Certain aspects of cryptocurrency may trigger money service business regulations, securities law, and some state level specific rules. If your business revolves around cryptocurrency, this blog post can help ensure regulatory compliance when conducting cryptocurrency related activities. Read more detail … Continue reading

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Edward Schiavi Terminated From Securities America Over Alleged Compliance Failure

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former New Mexico-based Securities America broker/adviser Edward Schiavi was discharged from his former employer in connection to alleged rule violations and is … Continue reading

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New Compliance Requirements for FCRA Background Checks

The Consumer Financial Protection Bureau (“CFPB”) issued a new “A Summary of Your Rights Under the Fair Credit Reporting Act” (“FCRA”)  (“Summary of Rights”) form on September 12, 2018.  This form replaces the previous version issued on November 12, 2012, … Continue reading

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US federal banking agencies issue final regulations promulgating use of municipal obligations for LCR compliance

Late last month, the US federal banking agencies (the Federal Reserve Board (FRB), Office of the Comptroller of the Currency (OCC) and Federal Deposit Insurance Corporation (FDIC), collectively, the “banking agencies”) issued an interim final rule that implements section 403 … Continue reading

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