31 Days to a More Effective Compliance Program: Day 22 - Level of Due Diligence
AI Today in 5: January 22, 2026, The AI Compliance Blindspot Edition
Illinois Supreme Court Tightens Standing for No-Injury Consumer Claims — The Consumer Finance Podcast
Daily Compliance News: January 22, 2026, The Compliance Officers Fired Edition
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
The Canada Revenue Agency (“CRA”) has recently revised its longstanding administrative position on the GST/HST exempt-treatment of mutual fund trailing commissions. Under the new position that will be enforced as of July 1,...more
On the heels of our last client alert on bankruptcy safe-harbor case law developments, yet another court has reemphasized the breadth of the Bankruptcy Code’s safe harbors for transactions conducted under qualified financial...more
The Canadian Securities Administrators (“CSA”) have proposed amendments and changes to National Instrument 81-102 Investment Funds (“NI 81-102”) and its companion policy pertaining to the liquidity risk management (“LRM”) of...more
The new UK prospectus regime, the Public Offers and Admissions to Trading Regulations 2024 (POATRs), came into force on 19 January 2026. Whilst many aspects of the previous prospectus regime have been carried over, there are...more
On January 8, 2026, NYSE American LLC filed a proposed rule change with the SEC to amend the provisions of the NYSE American Company Guide governing initial listing standards. If approved, the amendments would represent a...more
Tom Hayhoe's final report as COVID-19 Counter-Fraud Commissioner estimates that fraud, error and waste across more than 140 pandemic support schemes cost UK taxpayers £10.9 billion. Out of this, only around £1.8 billion has...more
Pension Schemes Bill: release of surplus Comments from the Minister of State on the new power to release surplus; Pensions Commission and further lifetime allowance regulations...more
2026 is shaping up to be a pivotal year for health care reimbursement. From major CMS payment rules to evolving disclosure requirements, AI scrutiny, and mounting pressure on providers across the care continuum, the 2026...more
FTC Sues Online Question-and-Answer Service Company and Its CEO for Allegedly Misleading Business Practices. On January 13, the FTC filed a complaint in the U.S. District Court for the Northern District of California against...more
This decision clarifies how the subjective intention of an individual is attributed to a corporation or similar entity for the purpose of determining whether there is a ‘mistake’ in a contract which the Court will rectify....more
The United Kingdom is bringing the regulation of crypto-related services and activities within the scope of the regime that currently applies to traditional financial services firms set out in the Financial Services and...more
At the 2025 Middle Market & Large Corporate Loans Conference, hosted by LSEG LPC, financial services professionals convened to review market drivers from the past year and identify opportunities for 2026. The November 2025...more
The Financial Industry Regulatory Authority (FINRA) on January 14, 2026, filed a proposed rule change with the U.S. Securities and Exchange Commission (SEC) to adopt FINRA Rule 3290 (Outside Activities Requirements). The...more
The limited partner (‘LP') secondaries market has grown into a huge ecosystem and, alongside this expansion, the process of obtaining general partner (‘GP') consent and navigating transfer restrictions has become increasingly...more
On December 12, 2025, the Wisconsin legislature introduced a bipartisan measure (SB 759) that proposes significant amendments to Chapter 138 (Money and Rates of Interest) of the Wisconsin Statutes....more
Several industrial companies have recently implemented transactions to permanently divest legacy contingent liabilities. In these transactions, the divesting company transfers ownership of an entity holding specified legacy...more
Coming into 2025, the long-predicted “great wave” of bank mergers still appeared theoretical. But by year’s end, announced U.S. bank deals exceeded 2024 totals, and aggregate transaction value had moved decisively higher,...more
Securities class action filings remained elevated in 2025, signaling that robust activity will likely persist into 2026. According to economic and financial consulting company Cornerstone Research, through September 30, 2025,...more
Today’s industry news isn’t just another personnel announcement. When Fred Reish, a lawyer whose name has been synonymous with ERISA’s most complex fiduciary and regulatory issues for decades, changes teams, the whole...more
At the end of 2024, we predicted that the healthcare mergers and acquisitions (M&A) market would pick up steam in 2025, given the combination of decreasing interest rates, a potential shift in the regulatory landscape with...more
Tokenization of private equity (PE) and venture capital (VC) fund interests is rapidly gaining traction in Asia, as fund managers and service providers seek to leverage blockchain technology to enhance liquidity, broaden...more
We recently blogged about President Trump’s Truth Social post in which he announced his intent to impose a 10% per annum interest rate cap on credit cards for one year beginning on January 20, 2026, the one-year anniversary...more
Key Developments - The Financial Sector Conduct Authority (FSCA) has released an update on the licensing and supervision of Crypto Asset Service Providers (CASPs) under the Financial Advisory and Intermediary Services Act,...more
Family offices are increasingly turning to private secondary market transactions to gain exposure to sought-after companies in technology, artificial intelligence, fintech, and other alternative investment sectors. These...more
To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week. Federal Activities: On...more