The Ethics Experts: Episode 183 – Julie Winkle Giulioni
The Legal Tightrope: Surviving Parallel Investigations
Corruption Crime and Compliance: Nicolas Garcia, GC at Orica, on Compliance Trends and Challenges in Latin America
FCPA Compliance Report: Jon May Critiques The DOJ Whistleblower Financial Incentive Program
Compliance Tip of the Day: Everything Old is New Again: The John Deere FCPA Enforcement Action
Daily Compliance News: September 23, 2024 – The That Old Time Religion Edition
Episode 337 -- Nicolas Garcia, GC at Orica, on Compliance Trends and Challenges in Latin America
Sunday Book Review: September 21, 2024, Books on Venice Edition
Megatrax Trailblazers Podcast: Episode 41 - Tom Fox (Voice of Compliance Podcast Network)
Creativity and Compliance: Transforming Toxic Cultures
Compliance Tip of the Day: How A CEO Can Set The Tone at The Top with Town Halls
Fox on Podcasting: Enhancing Your Podcast with Megatrax: Ileana Landon’s Expert Insights
2 Gurus Talk Compliance: Episode 37 – The Florida Couple Edition
Daily Compliance News: September 20, 2024 – The 2nd Trial Edition
Compliance Tip of the Day: How A CEO Can Set The Tone at The Top with Email
Pawtastic Friends: The Paw Talk – Hercules, Angelina and Prince
The Corruption Files: Navigating Corporate Governance: The Hutchison Whampoa Scandal
From Court to Code: Smart Contracts and Arbitration
Daily Compliance News: September 19, 2024 – The Woj Retires Edition
In Maso Cap. Invs. Ltd. v. E-House (China) Holdings Ltd., No. 22-355 (2d Cir. June 10, 2024), the United States Court of Appeals for the Second Circuit affirmed the district court’s dismissal of a putative securities-fraud...more
The Securities and Exchange Commission recently announced that it will host a compliance outreach program on November 7, 2024 (see the program’s agenda) on Advisers Act and Investment Company Act related topics. The agenda...more
Leading U.S. Crypto Companies Announce Multiple New Products, Integrations - A major U.S. cryptocurrency exchange recently announced the launch of cbBTC – an ERC20 token backed 1:1 by bitcoin held by the exchange. The new...more
The Israel Securities Authority has published several additional revisions to the Israeli money market reform since the Knesset approved legislative amendments designed to promote competition in the money market, and since...more
The U.S. Securities and Exchange Commission (SEC) brought more actions targeting regulated entities for recordkeeping violations related to employees using noncompany communications platforms, and both the SEC and the U.S....more
On August 28, 2024, the Financial Crimes Enforcement Network (“FinCEN”) adopted final rules (“Rules”) applicable to investment advisers with relatively few changes from the rules as proposed....more
Below is this week’s congressional update by BakerHostetler’s Federal Policy team. We’ll continue to post in weeks when both chambers of Congress are in session....more
On August 28, 2024, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a final rule that expressly includes certain investment advisers in the definition of a “financial institution”...more
The recent amendment to the Corporate Enforcement and Voluntary Self-Disclosure Policy (CEP) of the Department of Justice’s (DOJ’s) Criminal Division expects companies to self-disclose allegations of misconduct within 120...more
The Federal Deposit Insurance Corporation (FDIC) issued a Notice of Proposed Rulemaking (the Proposal) on September 17, 2024, that seeks to strengthen recordkeeping for bank deposits held by nonbank companies on behalf of...more
The PCAOB has released a new Spotlight on auditor independence, which provides observations from PCAOB inspections regarding independence issues and identifies considerations for both auditors and audit committees. Auditor...more
With effect from 19 September 2024, the FCA will no longer require London listed closed-ended investment funds to comply with the PRIIPs cost disclosure regime. Statements by the Government and the FCA have introduced...more
In this episode of The Ethics Experts, Nick welcomes Julie Winkle Giulioni. Throughout her career, Julie has championed workplace growth and development. She operates on the belief that everyone deserves the opportunity to...more
The Situation: The Financial Crimes Enforcement Network ("FinCEN") has adopted a rule that subjects certain investment advisers to anti-money laundering/countering the financing of terrorism program ("AML") requirements...more
In its third action involving NFTs, the SEC targets a restaurant membership token tied to fundraising and promises of potential price appreciation for buyers....more
We’ve known for some time that Corp Fin is reviewing Form 8-Ks filed after a company experiences a cybersecurity incident – including whether those 8-Ks should be filed under Item 1.05 or Item 8.01. These reviews have...more
On September 18, 2024, the Securities and Exchange Commission (SEC or Commission) approved amendments to Regulation NMS (the Amendments) that take several steps intended to narrow bid/ask spreads, reduce transaction costs for...more
In the world of corporate compliance, some very basic compliance lessons seem destined to be repeated. This was certainly clear from the recently announced Securities and Exchange Commission (SEC) Foreign Corruption Practices...more
Welcome to the Parallel Proceedings Podcast, hosted by Kevin Muhlendorf, a partner in Wiley’s White Collar & Government Investigations Practice who also leads the firm’s Securities Enforcement and Litigation Team. Kevin, a...more
How can companies build trust and drive growth in a region as politically and economically volatile as Latin America? In this episode, Nicolas Garcia – Vice President, Legal, Regional and Compliance Manager for LATAM and...more
Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this edition of the FCPA Compliance Report, Tom Fox welcomes back the well-known white collar defense practitioner and...more
Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
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 to the Daily Compliance News. All...more
How can companies build trust and drive growth in a region as politically and economically volatile as Latin America? In this episode, Nicolas Garcia - Vice President, Legal, Regional and Compliance Manager for LATAM and...more
