31 Days to a More Effective Compliance Program: Day 18 - Risk Assessments
Sunday Book Review: January 18, 2026, The Top Books on Innovation ’26 Edition
31 Days to a More Effective Compliance Program: Day 17 - Podcasting for Compliance
31 Days to a More Effective Compliance Program: Day 16 - Effective and Tailored Compliance Training
2 Gurus Talk Compliance: Episode 68 - The Corruption is Free Speech Edition
AI Today in 5: January 16, 2026, The More Chatbots in Recruiting Edition
Compliance and AI: Transforming Cloud Investments: The Role of AI Governance
Daily Compliance News: January 16, 2026, The Another Basketball Point-Shaving Scandal Edition
31 Days to Effective Compliance Program: Day 15 - Monitoring and Improving Internal Controls
AI Today in 5: January 15, 2026, The AI for IA Edition
FCPA Compliance Report: The Role of AI and Data Analytics in Compliance: Preview of The Leading Edge with Roxanne Bras Petraeus and Andrew McBride
Daily Compliance News: January 15, 2026, The Do You Need a Second CCO Edition
31 Days to a More Effective Compliance Program: Day 14 - Internal Controls
Great Women in Compliance: When Women Speak Up: Gender, Whistleblowing and Retaliation
AI Today in 5: January 14, 2026, The Apple Folds Edition
Compliance into the Weeds: The Department of Retribution
Daily Compliance News: January 14, 2026, The Ghost of Odebrecht Edition
31 Days to a More Effective Compliance Program: Day 13 - Policies and Procedures
AI Today in 5: January 13, 2026, The Ethical AI in Africa Edition
Financial Responsibilities in the Surplus Lines Market — Surplus Lines 360
Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough...more
In the Sunday Book Review, Tom Fox considers books that would interest compliance professionals, business executives, or anyone curious. It could be books about business, compliance, history, leadership, current events, or...more
On December 12, 2025, Judge Sherilyn Peace Garnett of the United States District Court for the Central District of California granted in part and denied in part a motion to dismiss a proposed investor class action against a...more
On December 18, 2025, Judge Sherilyn Peace Garnett of the United States District Court for the Central District of California dismissed a putative securities class action against a multinational “fast-casual” restaurant chain...more
A Structured Products Primer on the Uses of Rule 424(b) and Rule 433 - Rules 424(b) and Rule 433 under the Securities Act of 1933 (“Securities Act”) are the two primary filing mechanisms for preliminary offering...more
On December 19, the Luxembourg Parliament adopted a law requiring the Luxembourg Business Registers (the LBR) to refuse registration in the Luxembourg Trade and Companies Register (the RCS) and to demand the cessation of...more
On January 5, 2026, the Organisation for Economic Co-operation and Development (“OECD”) announced that the Inclusive Framework on Base Erosion and Profit Shifting agreed to a new package of administrative guidance (the...more
On January 7, 2026, the Securities and Exchange Commission (“SEC”) proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as “small...more
After a decade of cloud migration and incremental modernization, the technology sector is approaching an inflection point. This year, 2026, is shaping up to be the year AI must move from pilots to production. The focus is...more
On December 16, 2025, the government filed a draft law n°8669 (the Draft Law), which aims to allow, subject to conditions, the deferred payment of the minimum share capital of private limited liability companies (S.à r.l.)...more
On November 25, 2025, the Appellate Court of Maryland issued a landmark decision in Special Situations Fund III QP L.P. v. Travel Centers of America Inc., upholding the dismissal of stockholder challenges to a public company...more
On January, 14, 2026, the Federal Trade Commission (FTC) released the annual jurisdictional adjustments for premerger notification filings made pursuant to Section 7A of the Clayton Act, known as the Hart-Scott-Rodino...more
On Jan. 14, the FTC announced the 2026 filing thresholds under the HSR Act, as well as the 2026 filing fees. ...more
Public Safety Canada has updated its guidance for businesses subject to the Supply Chains Act and launched the online portal for the 2026 reporting cycle, with reports due by May 31, 2026....more
The U.S. Securities and Exchange Commission ("SEC") will accept comments suggesting specific reforms to Regulation S-K's disclosure requirements until April 13, 2026. On January 13, 2026, SEC Chairman Paul Atkins announced...more
Unlike past years, companies are not facing new disclosure requirements for their upcoming 10-Ks and proxy statements, but the change in the SEC administration during 2025 brought with it other changes companies will need to...more
Following up on last week’s blog about the stats on this: Ahead of this proxy season, Corp Fin issued this statement saying that it wouldn’t respond to no-action requests – at least until September 30, 2026 – unless a company...more
The umbrella partnership real estate investment trust (“UPREIT”) structure, a cornerstone of the modern REIT industry, provides REITs with powerful tools for both property acquisitions and executive compensation. ...more
The Proposal addresses recent comments about the scope of permissible activities for national trust banks, as applications to charter new banks continue to be filed....more
The Federal Trade Commission (“FTC”) recently announced revised thresholds (“2026 Thresholds”) applicable to interlocking directorates under Section 8 of the Clayton Act, 15 U.S.C. § 19. The thresholds are adjusted annually...more
The Internal Revenue Code (the Code), as amended, requires corporations to provide information statements to employees (including former employees) and information filings to the IRS regarding employees’ and former employees’...more
As you may recall, the Holding Foreign Insiders Accountable Act (the HFIAA) was signed into law on December 18, 2025. In a nutshell, this means that directors and officers of foreign private issuers whose securities are...more
The Federal Trade Commission (FTC) announced Jan. 14 annual revisions to the applicable thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the HSR Act). These updates will apply to all...more
Brewer v. Turner, C.A. No. 2023-1284-KSJM (Del. Ch. Sept. 29, 2025) - Directors and officers of Delaware corporations owe a duty of oversight under Caremark and its progeny. Relevant here, the duty of oversight requires...more