Compliance Tip of the Day - Monitoring of Internal Controls
Innovation in Compliance: Advancements in AI Technology for Fraud Prevention Strategies with Jack Yu
Inside the Homebuyers Privacy Protection Act: A Conversation With the Mortgage Bankers Association — FCRA Focus Podcast
AI Today in 5: December 9, 2025, The One AI Rule Edition
Daily Compliance News: December 9, 2025, The Lawyers, Guns and Money Edition
Sunday Book Review: December 7, 2025, The Best Books on History Edition
Compliance Tip of the Day - What Can Lead to an Internal Control Over-ride
AI Today in 5: December 8, 2025, The AI in Battling Edition
FCPA Compliance Report - Nicole Di Schino on Harnessing AI for Compliance: Governance, Risks, and Best Practices
Daily Compliance News: December 8, 2025, The Surviving Holiday Parties Edition
10 For 10: Top Compliance Stories For the Week Ending December 6, 2025
Compliance Tip of the Day: M&A-Pre-Acquisition: Final Lessons
From the Editor’s Desk: Compliance Week’s Insights and Reflections for November and into December 2025
Compliance and AI: Navigating the Challenges and Opportunities of Agentic AI in Compliance
Daily Compliance News: December 5, 2025, The White Collar Criminal Enterprise Edition
Regulatory Ramblings: Episode 83 - Hong Kong’s New Protection of Critical Infrastructures (Computer Systems) Ordinance
Point-of-Sale Finance Series: Solar Finance Under the Microscope — Payments Pros – The Payments Law Podcast
Point-of-Sale Finance Series: Solar Finance Under the Microscope — The Consumer Finance Podcast
Everything Compliance: Episode 162, The Numbers, Numbers, Numbers Edition
Compliance Tip of the Day - M&A - Pre-Acquisition: Reviewing Financial and Operational Data
On November 17, 2025, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) published its annual 2026 Examination Priorities (the “Exam Priorities”). The Exam Priorities are...more
By special arrangement with ACI, I was able to record several participants, speakers, panelists, and moderators from the recently concluded ACI FCPA and Global Anti-Corruption Conference held at the Gaylord near Washington,...more
Ng Chong Hwa, better known as Roger Ng, is a Malaysian national who ran Goldman Sachs’ operations in Malaysia from 2012 to 2014. According to his former Goldman colleague Timothy Leissner’s trial testimony, between 2012 and...more
On December 1, Attorneys General from Connecticut, North Carolina, California, Colorado, Illinois, Minnesota, and Wisconsin sent letters to certain buy now pay later (BNPL) providers requesting information related to their...more
The House passed two capital formation bills aimed at easing securities regulations for venture capital funds, and the following day SEC Chair Paul Atkins outlined the Commission’s agenda to revive U.S. capital markets,...more
On Friday, Dec. 5, the U.S. Small Business Administration (SBA) sent letters to all 4,300 8(a) Business Development Program (8(a) Program) participants requiring production of detailed financial records for the last three...more
On December 2, President Trump announced that a wealthy benefactor had committed to contribute $6.25 billion to seed certain Trump accounts, a new form of IRA for children under age 18. Trump accounts were codified under...more
On November 25, the House Financial Services Committee majority staff published Operation Chokepoint 2.0: Biden’s Debanking of Digital Assets, a detailed account of how, in the Committee’s view, federal prudential regulators...more
Almost three years after New York’s “Foreclosure Abuse Prevention Act” (FAPA) changed how the six-year time clock applicable to mortgage actions starts and stops, the state’s highest court resolved a heavily litigated...more
I’ve always said, “You’re only one rigorous process away from averting a major fiduciary failure.” It’s one thing to trust your advisors — but completely another to delegate without oversight. So when I saw the article in...more
Each year, the Alberta Securities Commission (ASC) publishes its Corporate Finance Disclosure Report, providing important insights into the ASC’s areas of focus and offering practical guidance to reporting issuers in...more
It’s no secret: the federal procurement system is undergoing major changes. The President’s “Revolutionary FAR Overhaul” is well underway, the Department of War (“DoW”) has recently announced that traditional program...more
Kilpatrick’s Jordan Goodman presented an update on significant unclaimed property issues nationwide during a Council On State Taxation (COST) webinar on December 5, 2025....more
The Council of the EU and the European Parliament have announced a provisional political agreement on the EU payments package. While the final texts of the third Payment Services Directive (PSD3) and the Payment Services...more
McGuireWoods welcomed more than 1,600 attendees to Dallas for the 2025 Independent Sponsor Conference, the cornerstone of the firm’s independent sponsor initiative and preeminent gathering of independent sponsors and capital...more
The UK Financial Ombudsman Service (FOS) has launched a consultation on its plans and budget for 2026/27. Key proposals include increasing its case fee to GBP680 and compulsory levy to GBP86 million. The FOS has also...more
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice for navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
On December 10, 2025, the United States Supreme Court will hear arguments in FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd. to resolve a circuit split and determine whether there is a private right of action...more
Let us say what compliance officers whisper in hallways but rarely commit to writing: Quality control (QC) in financial crime has been the organizationally orphaned stepchild for decades — not the kind that gets sympathy, but...more
HM Treasury (HMT) has published a letter from Rachel Reeves, Chancellor of the Exchequer, to Andrew Bailey, Bank of England Governor, setting out the remit and recommendations for the Financial Policy Committee (FPC) for...more
The 2026 outlook for market activity is cautiously optimistic amid ongoing challenges. Private equity firms are shifting to more hands-on, creative strategies to unlock liquidity in aging portfolios, with increased use of...more
The UK Financial Conduct Authority (FCA) has published a new webpage with updated forms and checklists to support the UK's new Public Offers and Admission to Trading regime (POATR) which fully comes into force on 19 January...more
Almost all credit agreements which are based on Loan Markets Association templates contain an ‘Obligors’ Agent’ provision, which is designed to help borrowers and finance parties to minimise the administrative burden of...more
In recent years, meme stocks have captured headlines and ignited debate among investors and legal professionals alike. One of the most dramatic examples unfolded in late October 2025, when Beyond Meat, a well-known producer...more
Not every valuation fits neat financial formulas. Clients inevitably bring real-world, non-standard complications such as family dynamics, conflicting stakeholder goals, and legacy and continuity concerns to the assignment....more