31 Days to a More Effective Compliance Program: Day 21 - Managing Third Parties
AI Today in 5: January 21, 2026, The 9 AI Risks Edition
Resellers in the Middle: Duties, Data, and Defenses Under the FCRA — FCRA Focus Podcast
Great Women in Compliance: Don’t Freak Out: Compliance from a Prosecutor-Defense Lens
Compliance into the Weeds: Addressing Retaliation Against Compliance Officers: Strategies & Insights
Daily Compliance News: January 21, 2026, The Excellence in Compliance Awards Edition
31 Days to a More Effective Compliance Program: Day 20 - Third Party Risk Management Process
AI Today in 5: January 20, 2026, The Extortion Edition
Innovation in Compliance: Transforming from Hierarchy to High Performance: Governance and AI in 2026
Daily Compliance News: January 20, 2026, The First We Kill All the Lawyers Edition
31 Days to a More Effective Compliance Program: Day 19 - Evaluating the Risk Management Process
FCPA Compliance Report: Navigating Corporate Ethics and Compliance Trends in 2026 with Mike Volkov, Part 2
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
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
The global slowdown in recent years of sales processes and initial public offerings (IPOs) has delayed exits for many private equity (PE) sponsors, causing mounting pressure from investors to return capital....more
The second Trump administration brought with it high expectations about a more receptive approach toward the regulation of cryptocurrencies and other digital assets....more
The use of AI has been a boon for business owners, because it enables them to analyze large amounts of data quickly and inexpensively, which accelerates their decision-making process without the need to consult others....more
Crypto Custody Provider Announces IPO, Bank Launches Tokenized Deposits - In a recent press release, BitGo Holdings, Inc., a digital asset infrastructure company, “announced the launch of its initial public offering of...more
One of the clearest takeaways from this year’s CREFC Conference was that today’s transaction slowdown is not being driven by a lack of debt capital. To the contrary, debt is plentiful across the capital stack. The real...more
Prediction markets have rapidly moved into the mainstream of financial innovation. These markets are very flexible and allow users to take a position on the outcome of a wide array of events — from elections and sport events...more
At the outset of life sciences transactions, there is usually a strong sense of alignment. Founders and investors tend to agree on the importance of discipline, focus, capital efficiency, and long-term value. That was evident...more
The UK Financial Conduct Authority (FCA) has announced the launch of a two-day stablecoin tech-sprint. The sprint, taking place on 4-5 March, will explore the use cases for stablecoins in domestic and international payments,...more
On January 12, the California Department of Financial Protection and Innovation (DFPI) issued a second invitation for comments on potential regulations under the California Consumer Financial Protection Law (CCFPL) that would...more
In Preston Hollow Capital, LLC v. Truist Bank, Cause No. 25-BC01B-0030, the Texas Business Court issued a detailed opinion addressing three recurring issues in sophisticated financing disputes: (1) whether the parties’...more
Lead Capital Partners (LCP) has announced an investment in PedsOne. PedsOne, founded in 2011 and based in Nashville, Tennessee, is a provider of outsourced revenue cycle management and consulting services to independent...more
Directs federal agencies to restrict the sale, financing, insurance, guarantees, securitization, and disposition of single-family homes to large institutional investors, prioritize sales to individual owner-occupants, require...more
In early 2024, the UK Financial Conduct Authority (FCA) announced that it intended to make it easier for itself to publish the names of firms under investigation. This led to market-wide uproar as well as criticism in...more
The European Commission (EC) has launched two consultations on reforming the rules for venture and growth capital funds. The consultations seeks to explore potential changes to the regulatory framework applying to such funds...more
When discussing the litigation challenges deepfake technology poses, one typically thinks of difficulties protecting individual privacy rights, complications prosecuting anonymous actors, the lack of law regulating deepfake...more
The European Supervisory Authorities (ESAs) and the UK’s Bank of England, Prudential Regulation Authority and Financial Conduct Authority (together, the UK Regulators) have signed a Memorandum of Understanding (MoU) to...more
In this article, we share a timeline of monthly "bites" for the past year applicable to Payments....more
In this article, we share a timeline of monthly "bites" for the past year applicable to student lending....more
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
The Financial Markets Standards Board has published its 2026 workplan. The workplan covers a wide range of areas in relation to wholesale financial markets, and in 2026 the Board sets out the following focus topics...more
Not content to “let it be,” the Financial Services Institute (FSI) sought and received, on November 17, 2025, a significant SEC staff no-action letter relating to the broker-dealer status of personal service entities (PSEs)...more
The European Supervisory Authorities (comprising the European Securities and Markets Authority, the European Insurance and Occupational Pensions Authority and the European Banking Authority) have entered into a Memorandum of...more
As organizations increasingly rely on third-party service providers (TPSPs) for critical services, including cloud computing, IT management, and fintech solutions, the scale and complexity of cyber risks have grown. A recent...more
The UK Financial Conduct Authority (FCA) has published an updated webpage on its consultation paper proposing a framework for introducing an equity consolidated tape in the UK, operated by a consolidated tape provider....more
Every retirement plan provider now talks about AI, personalization, and “smart” tools. Plan sponsors should listen — but they shouldn’t be dazzled. Technology does not replace fiduciary responsibility. It magnifies it....more