Innovation in Compliance: Nikki Rausch on Harnessing Relationships for Sales and Effective Compliance
Compliance Tip of the Day: Corporate Leaks and Compliance
No Password Required Podcast: Chief Product Officer at ThreatLocker and Advocate of Buc-ee’s, Mascots, and Buc-ee Mascots
All Things Investigations: Terrorism Designations of Mexican Cartels Fundamentally Enhances Risk for All Companies
Daily Compliance News: March 18, 2025, The Slack Channel Edition
Jones Day Talks®: Corporate Fraud Investigations in 2025: Lessons, Trends, and Need-to-Knows
Compliance Tip of the Day: AI for Whistleblower Anonymity
FCPA Compliance Report: Celebrating the 2025 World’s Most Ethical Companies: Highlights with Erica Salmon Byrne
Daily Compliance News: March 17, 2025, The Severance Edition
10 For 10: Top Compliance Stories For the Week Ending March 15, 2025
The Entrepreneur's Journey with Kass and Mike Lazerow
Compliance Tip of the Day: Use of Blockchain in Compliance
Daily Compliance News: March 14, 2025, The $200 Transaction Edition
PODCAST: Williams Mullen's Gavels & Gowns - Enforcement on Campus: The Impact of New Immigration Priorities on Academia
The SEC's Reach Beyond Publicly Traded Companies
Compliance Tip of the Day: Superforecasting
Everything Compliance: Episode 151, The What is Illegal DEI Edition
Daily Compliance News: March 13, 2025, The Uncle Jeffrey Edition
Compliance Tip of the Day: Taming Complexity
AGG Talks: Women in Tech Law Podcast - Episode 6: Navigating the Legal Landscape of Venture Capital: Key Considerations for Startups
On February 27, 2025, FinCEN published guidance related to the Corporate Transparency Act (the “CTA”) taking the position that it would not “issue any fines or penalties or take any other enforcement actions against any...more
On 12 March 2025, the SEC staff issued a no-action letter for offerings under Rule 506(c) of Regulation D. In the letter, the Staff concurs that an issuer will have taken “reasonable steps to verify” a purchaser’s accredited...more
On 31 January 2025, the Texas Stock Exchange LLC (TXSE) filed a registration statement with the US Securities and Exchange Commission (SEC) to operate as a fully electronic, national securities exchange....more
In determining whether parties are, in fact, in a partnership depends on the conduct of the parties. Titles, labels, and disclaimers are often meaningless. Consider this scenario: In a New York City bar, two successful...more
The US Securities and Exchange Commission (SEC) has published no-action guidance providing clarity to issuers relying on Rule 506(c) of Regulation D – an exempt offering pathway that permits issuers to publicly advertise an...more
The California Privacy Protection Agency (CPPA) issued a settlement order on March 12, 2025, with an vehicle manufacturer regarding its investigation of its privacy practices, where it agreed to a $632,500 settlement for 150...more
Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an exemption for certain...more
Innovation comes in many areas, and compliance professionals need to be ready for it and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning...more
Change isn’t just a hurdle to overcome; it’s a vital part of continued business success. Yet despite a wide range of change management models, tools, and techniques, many organizations still struggle with failed...more
Who may be interested: Registered Investment Companies; Investment Advisers; Boards of Directors; Compliance Officers - Quick Take: The SEC recently announced a six-month extension of the compliance dates for amendments to...more
In 2024, plaintiffs filed 36 securities class action lawsuits against non-U.S. issuers, up by three from the 33 filings in 2023. Also last year, courts rendered 22 decisions resolving motions to dismiss securities class...more
Smith v. Commissioner, a pending research credit case in the United States Tax Court, presents an issue of first impression: Is a partner’s self-employment income in a partnership allowable as a qualified research expense...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
Likely due to the tremendous number of healthcare mergers, acquisitions, and private equity deals that have been taking place, the industry has recently been the target of multistate unclaimed property audits. This increased...more
On March 7, 2025, Judge John P. Cronan of the Southern District of New York granted a motion for judgment on the pleadings in a putative class action asserting claims under Sections 11 and 15 of the Securities Act of 1933...more
On February 26, 2025, the Supreme Court of the State of New York, County of Onondaga, rendered a decision involving an alleged anticompetitive acquisition under New York’s Donnelly Act. This decision demonstrates the...more
The Beneficial Ownership Transparency (Legitimate Interest Access) Regulations, 2024 commenced on 28 February 2025. Under these Regulations, the Cayman Islands Registrar (the “Registrar”) may provide access to the information...more
The NYSE American stock exchange requires a listed company to obtain shareholder approval prior to issuing shares pursuant to (i) stock-based compensation plans, (ii) certain acquisitions and change of control transactions,...more
A major cyberattack on Jaguar Land Rover (JLR) has cast a spotlight on the persistent threat of ransomware targeting global corporations. The HELLCAT ransomware group is behind this latest breach, exposing internal documents,...more
The Financial Crimes’s Enforcement Network of the U.S. Treasury Department (“FinCEN”) Beneficial Ownership Information (“BOI”) reporting obligations under the Corporate Transparency Act (“CTA”) are once again back in effect....more
When disputes arise, parties very often go straight to filing a lawsuit. Sometimes, that tactic can be effective. However, it may not be so effective for those individuals or small businesses seeking to minimize costs. Costs...more
The past year for the Illinois cannabis industry revealed continuing tensions and disparity between the rosy picture painted by officials; the reality for businesses on the ground; and the downstream impact to patients and...more
This white paper is intended to guide and inform registered funds, their sponsors and other service providers and their boards (“Boards”) as they prepare to take advantage of potentially forthcoming exemptive relief (the...more
In the United States, companies can incorporate in any state of their choosing, regardless of where the company is headquartered or operates. The corporate law of the selected state will govern the internal affairs of the...more
On March 12, 2025, the Division of Corporation Finance (the “Division”) of the SEC issued a no-action letter (the “No-Action Letter”) providing new guidance on Rule 506(c) of Regulation D under the Securities Act....more