This Report is filled with developments you should consider for updating your outreach, training and risk assessments. We hope this will help you get ready for the 2nd half of 2021! FINTECH DEVELOPMENTS Custody and anti-manipulation controls remain important for compliance programs and risk assessment priorities particularly as SEC resistance to digital assets continues. A recent SEC […]
This month we present several examples of proactive regulatory guidance. We recommend you use this optimistic time of year to review your programs and proactively communicate these developments to your board, management and other stakeholders. Please reach out. We are here as a resource and look forward to hearing from you. FINTECH Interesting case to watch re: […]
We are optimistic as spring is in bloom and many of the annual filings and reports are behind us. We hope you enjoy this edition which is full of developments for you to consider as you focus on keeping pace in 2021. Please reach out with feedback. We love to hear from our readers. Fintech […]
With spring around the corner, it’s a good time for clean-up and a refresh of regulatory filings, testing and policies. This edition encourages a reset on expectations for OFAC, privacy, digital assets and disclosures. This spring we are also launching a new NSCP Fintech & Blockchain Round Table for a fresh approach to networking, bench […]
This month we cover increasing cyber risks and reg developments such as the Everalbum settlement and ESG guidance. As you consider your annual review of compliance and governance controls, refresh regulatory filings and keep pace with Q1 work, use the Warburton Report as a helpful resource to track developments and prepare training content. Data Privacy and Risks […]
We wish you the best in 2021. This year is expected to be a year of change, especially as it relates to issues about the future of finance – blockchain, ESG and sustainable governance programs that deliver a compliance ROI. As always, we are here as a resource. Please reach out with questions and we […]
Compliance Trends Revamp of FTC Data Privacy Enforcement On October 16, 2020, FTC Commissioner Slaughter delivered the keynote address titled “Confronting Cybersecurity and Data Privacy Challenges in Times of Unprecedented Change”. Slaughter proposed important changes to the enforcement regime. Below is a summary. Compliance Officers should track potential developments including personal liability for those that […]
ESG Developments Adequate disclosures and support for ESG claims continue to be a priority and a trend to watch. Warburton is here to help support your efforts including serving as an independent verifier of your claims. Early this year, the SEC Investor Advisory Committee made recommendations relating to ESG Disclosures. Under current SEC regulations and […]
To support the financial services industry you may not trigger the same regulatory compliance requirements as of your customers, but basic compliance is still required in many jurisdictions as well as by contract. Below are 3 steps toward creating your own compliance program. Confirm you have Privacy, Cookies, Cyber-Security and Information Security policies and procedures […]
Staying Engaged Summer months, a pandemic and an economic slow-down may make it hard to stay engaged with regulatory and career developments. In this issue of the Warburton Report we present several podcasts and training videos to help you more easily stay on top of developments in compliance & data governance, asset management and ESG trends. […]