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Thomas Fox - Compliance Evangelist

FCPA Compliance Report: Report from Compliance Week 2026 on AI Sessions

In this episode, Tom Fox takes a solo turn behind the mic to report on the AI tracks from the recently concluded Compliance Week 2026 conference. He highlights two AI tracks: practical “creative” uses, including live...more

Katten Muchin Rosenman LLP

Federal Court Blocks Arizona From Enforcing Gambling Laws Against Prediction Markets

A federal court has blocked Arizona from enforcing its state gambling laws against prediction markets. In an order issued on May 5, 2026, the US District Court for the District of Arizona granted a preliminary injunction — a...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: May 11, 2026, The Tainted by Corruption or Collusion Edition

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

Thomas Fox - Compliance Evangelist

Sunday Book Review: May 10, 2026, The Top Books on AI Governance Edition

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

Mayer Brown

CFPB Issues Final Section 1071 Rule on Small Business Lending Data Collection

Mayer Brown on

On May 1, 2026, the Consumer Financial Protection Bureau (“CFPB” or “Bureau”) issued its final rule substantially revising subpart B of Regulation B, which implements section 1071 of the Dodd-Frank Wall Street Reform and...more

Cadwalader, Wickersham & Taft LLP

New Frontiers in Fund Finance: Strategy, Regulation and Liquidity, May 2026 - Central Bank of Ireland Removes Prohibition on Irish...

Ireland is widely recognised as a leading domicile in which to establish investment funds. The most common Irish-regulated fund structures used in fund finance transactions are: (i) Irish collective asset-management vehicles...more

Stikeman Elliott LLP

Canada, Cuba, and New U.S. Sanctions

Stikeman Elliott LLP on

On May 1, 2026 the White House announced a new executive order titled Imposing Sanctions On Those Responsible For Repression In Cuba And For Threats To United States National Security And Foreign Policy which asserts that the...more

Mayer Brown

United States Targets Dealings of Foreign Companies and Financial Institutions with Cuba

Mayer Brown on

On May 1, 2026, President Donald Trump signed Executive Order 14404, “Imposing Sanctions on Those Responsible for Repression in Cuba and for Threats to United States National Security and Foreign Policy” (the “EO 14404” or...more

Mayer Brown Free Writings + Perspectives

Do Crypto User Interface Providers Need to Register as Broker-Dealers with the SEC? The Staff Offers Its View

The Staff of the Division of Trading and Markets (the “Staff”) of the Securities and Exchange Commission (the “SEC” or the “Commission”) recently issued a statement (the “Statement”) providing its views on the application of...more

Alston & Bird

SEC Proposes Optional Semiannual Reporting Framework for Public Companies

Alston & Bird on

Our Securities Group examines the Securities and Exchange Commission’s proposal to give public companies greater flexibility in how often they report financial results, offering an alternative framework that could reduce...more

Alston & Bird

Implementation of the GENIUS Act’s ‘Substantially Similar’ Regulatory Framework: Treasury’s Proposed Broad-Based Principles

Alston & Bird on

The Treasury has proposed principles that detail how state regulatory frameworks for payment stablecoin issuers must align with federal GENIUS Act standards. Our Financial Services Group breaks down how federal- and...more

Polsinelli

SEC Increases Qualified Client Thresholds for Performance Fee Arrangements

Polsinelli on

Key Takeaways: The SEC has increased the qualified client thresholds under Rule 205-3 effective June 29, 2026, raising the assets-under-management test to $1.4 million and the net worth test to $2.7 million. The changes...more

Vinson & Elkins LLP

Powering Progress | Ep. 3 – The Fuel Behind the Future: How AI Gets Its Power

Vinson & Elkins LLP on

Welcome back to Powering Progress, our series examining the infrastructure challenges behind the rapid expansion of AI and data center development. As demand for computing power grows, so does the need for reliable and...more

Vinson & Elkins LLP

Powering Progress | Ep. 2 – Financing at Scale: Structured Capital for AI and Data Center Portfolios

Vinson & Elkins LLP on

Welcome back to Powering Progress, where we explore the legal and commercial frameworks powering the rapid growth of AI infrastructure and data centers. Behind every major data center development is a sophisticated capital...more

Sheppard

NYDFS Reaffirms State Fair Lending Obligations

Sheppard on

On April 22, the NYDFS issued an industry letter reminding entities regulated under the New York Banking Law of their obligations under Section 296-a of the New York Executive Law, New York’s fair lending statute. The letter...more

Sheppard

FDIC Rescinds Guidance on Multiple Re-Presentment NSF Fees

Sheppard on

On April 10, the FDIC rescinded prior supervisory guidance addressing multiple non-sufficient funds (NSF) fees arising from the re-presentment of the same unpaid transaction. The rescinded guidance had previously outlined the...more

Cogency Global

[Webinar] Hidden Tax Debt: What You Should Know About Your Borrowers - May 19th, 1:00 pm EDT

Cogency Global on

Due diligence is crucial in lending and allows lenders to thoroughly evaluate a borrower's financial situation while complying with lending regulations. This free webinar, entitled Hidden Tax Debt: What You Should Know About...more

Kilpatrick

SEC Proposes Semiannual Reporting Option for Public Companies

Kilpatrick on

On May 5, 2026, the Securities and Exchange Commission announced  proposed rule and form amendments that would allow public companies the option to satisfy their interim reporting obligations under federal securities laws by...more

Sheppard

DFPI Secures First Administrative Ruling Upholding CCFPL Enforcement Authority

Sheppard on

On May 1, the DFPI announced in its May Monthly Bulletin that it had obtained its first administrative decision affirming a California Consumer Financial Protection Law (CCFPL) action. The desist and refrain order involved...more

Carlton Fields

SEC Seeks Peer Review of FINRA’s Proposed Outside Activities Rule

Carlton Fields on

In March 2025, the Financial Industry Regulatory Authority (FINRA) published and requested comment on a proposed new “outside activities” Rule 3290 that would combine and replace Rules 3270 (outside business activities) and...more

Sheppard

CFPB Finalizes Slimmed-Down Section 1071 Small Business Lending Rule

Sheppard on

On May 1, the CFPB finalized a substantially revised Section 1071 rule, which implements the small business lending data collection and reporting requirements under the Equal Credit Opportunity Act (ECOA) and Regulation B, as...more

Holland & Knight LLP

Regulation S-P Amendments: Compliance Deadline Approaching for "Smaller Entities"

Holland & Knight LLP on

The June 3, 2026, deadline for "smaller entities" to comply with the 2024 amendments to U.S. Securities and Exchange Commission (SEC) Regulation S-P is fast approaching. This Holland & Knight alert provides a brief overview...more

Thomas Fox - Compliance Evangelist

AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week – May 8, 2026

Welcome to AI in Healthcare in 5 Stories. This podcast is a Weekly Briefing of the five most important AI developments shaping healthcare, medicine, and life sciences. Each week, Tom Fox breaks down the latest stories on...more

McGuireWoods LLP

Healthcare & Life Sciences Private Equity Deal Tracker: THL to Acquire Celerion From H.I.G. for $1.8 billion

McGuireWoods LLP on

THL Partners will acquire Celerion from H.I.G. Capital for $1.8 billion, according to news releases and industry reports. Celerion, formed in 2010 and based in Lincoln, Nebraska, is a global provider of clinical...more

Clark Hill PLC

Capitalization, Equity, and Structuring Your Startup

Clark Hill PLC on

Building a startup isn’t just about product and growth—it’s about getting the legal and financial foundation right from day one. This guide highlights the critical early decisions founders make around capitalization, equity,...more

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