Everything Compliance: Episode 161, The Tribute Adam Turteltaub Edition
ACI-FCPA Conference Speaker Preview Series - Michael Harper on Reading the Tea Leaves for FCPA Enforcement Going Forward
Compliance Tip of the Day – NBA Betting Scandal – The Role of Compliance in Sports Leagues
Point-of-Sale Finance Series: Navigating Home Improvement Finance Risks and Regulations — The Consumer Finance Podcast
AI Today in 5: November 6, 2025, The AI and Marketing Compliance Edition
Daily Compliance News: November 6, 2025, The Norway Says No to Musk Edition
ACI-FCPA Conference Speaker Preview Series - Andrew Bruck on Updating Your Due Diligence Program
Compliance Tip of the Day: NBA Betting Scandal - A Short History of BasketBall Betting Scandals
Great Women in Compliance: The Art and Science of Compliance: Nicole Rose on Culture, Curiosity, and Change
AI Today in 5: November 5, 2025, The Another One Bites the Dust Edition
Compliance into the Weeds: Incentives in Compliance: Structuring Effective Compensation Plans
Daily Compliance News: November 5, 2025, The Sex Dolls in Paris Edition
Everything Compliance Shout Out & Rants: Episode 161 - The Tribute Adam Turteltaub Edition
Innovation in Compliance: Dare to Dream: Leveraging AI and Innovation
Compliance Tip of the Day - NBA Betting Scandal-Prop Bets and Sports Books
NFTs on Trial: The Yuga Labs Verdict and What It Means for the Digital Frontier — The Crypto Exchange Podcast
ACI-FCPA Conference Speaker Preview Series - Mike Huneke on Trade, Tariffs and Corruption Risks
Daily Compliance News: November 4, 2025, The No Idea Edition
ACI - FCPA Conference Speaker Preview Series - Mike Koenig on Going Behind the Curtain of Corporate Governance
FCPA Compliance Report - Navigating the Complexities of Self-Disclosure Amidst Political and Legal Uncertainties
On 6 November 2025, the long-awaited “SFDR 2.0” has finally surfaced in a leak and, as many in the market expected, it represents a major reset of Europe Union’s (“EU”) sustainable finance framework. The proposal, still in...more
After three challenging years, Venture Capital (VC) funding is finally on the upswing according to data from Q3 of this year. KPMG’s Q3’25 Venture Pulse Report data shows global VC investment in Q3 totaling $120.7 billion...more
Tokenization is the process of creating an asset, or a digital record of an asset, by issuing a blockchain-based token. It is gaining momentum at institutional and governmental levels by transforming access to public and...more
On August 4, 2025, the U.S. District Court for the Southern District of New York granted Metropolitan Commercial Bank’s motion to dismiss a complaint by the plan administrator for the Voyager Wind-Down Debtor for failure to...more
Welcome to the FinReg Monthly Update, a regular bulletin highlighting the latest developments in UK, EU and U.S. financial services regulation....more
The Guernsey Financial Services Commission (the GFSC) has welcomed the Court of Appeal judgment relating to the long-running Providence enforcement procedure. This judgment confirms several key findings of wrongdoing...more
AI Moves from Experimentation to Integration: AI is now core to enterprise strategy with 65% of companies regularly utilizing generative AI (GenAI), doubling from 33% in 2023. This signals the shift in focus from AI pilots to...more
The secondaries market is on track for a record-breaking year, reaching $165 billion in transaction value through Q3 2025, with strong momentum carrying into the final quarter of the year, fueled by rising liquidity needs...more
Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In...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 in to the Daily Compliance News....more
On the heels of the Consumer Financial Protection Bureau’s (CFPB) interpretive rule issued last week explaining that the Fair Credit Reporting Act (“FCRA”) generally preempts state laws related to credit reporting, Brownstein...more
Introduction Under the CRR and as part of the prudential regulation of credit institutions, regulated firms, including banks, must comply with risk-based capital ratio requirements. Generally speaking, this ratio is: (i) the...more
On November 3, 2025, IOSCO released its anticipated Pre-Hedging Final Report (“Final Report”) detailing its assessment of current pre-hedging market practices and setting out recommended guidance for International...more
After considerable delay, employer registration for the New York State Secure Choice Savings Program (“New York Secure Choice” or “the Program”) is now open. New York Secure Choice—which was established in 2021 by New York...more
The UAE has enacted Federal Law No. 10 of 2025, Concerning Combating Money Laundering, Terrorism Financing, and the Financing of Proliferation, (the "New AML Law"), which repeals and replaces Federal Law No. 20 of 2018 (as...more
A federal judge has issued an injunction delaying the compliance dates of the CFPB’s open banking rule (“Rule”)....more
In an effort to harmonize German law with European law requirements, the new draft German CRD VI transposition law provides for a revision of the existing legal framework for third-country undertakings offering core banking...more
The New York LLC Transparency Act, which imposes new disclosure requirements on limited liability companies (LLCs) formed in New York as well as foreign LLCs authorized to do business in New York, goes into effect on January...more
On 4 November 2025, the government laid the Financial Services and Markets Act 2000 (Regulated Activities etc.) (Amendment) (No. 2) Order 2025 (Amendment Order), introducing an exemption for domestic premises suppliers from...more
Collective defined contribution (CDC): expansion to unconnected employers and retirement-only pensions...more
Hughes Hubbard’s “Sanctions in a Snap” is intended to provide a clear and concise summary of recent developments from the Office of Foreign Assets Control (OFAC). We hope you find it helpful in assessing U.S. economic...more
When people ask me what being a 401(k) plan sponsor is like, I sometimes want to tell them: “It’s like being an NFL head coach.” You might laugh, but think about it. Both jobs are filled with high expectations, constant...more
Regulator’s findings emphasise the need for sound risk management, appropriate group structuring, and prudent use of debt....more
At The Clearing House Annual Conference, Comptroller of the Currency Jonathan Gould outlined an agency-wide strategy to defend and promote federal preemption across the banking system. As reported by Law360, he emphasized...more
The Securities and Exchange Commission recently issued a notice regarding intended exemptive relief (the “Notice”) that would permit an open-end management investment company (referred to herein as an “open-end fund”)...more