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
Compliance and AI: Transforming Cloud Investments: The Role of AI Governance
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
AI Today in 5: January 15, 2026, The AI for IA Edition
FCPA Compliance Report: The Role of AI and Data Analytics in Compliance: Preview of The Leading Edge with Roxanne Bras Petraeus and Andrew McBride
Point-of-Sale Finance Series: Health Care Financing Compliance, Regulatory, and Privacy Pitfalls — Payments Pros – The Payments Law Podcast
Point-of-Sale Finance Series: Health Care Financing Compliance, Regulatory, and Privacy Pitfalls — The Consumer Finance Podcast
Daily Compliance News: January 15, 2026, The Do You Need a Second CCO Edition
31 Days to a More Effective Compliance Program: Day 14 - Internal Controls
Great Women in Compliance: When Women Speak Up: Gender, Whistleblowing and Retaliation
AI Today in 5: January 14, 2026, The Apple Folds Edition
Compliance into the Weeds: The Department of Retribution
Daily Compliance News: January 14, 2026, The Ghost of Odebrecht Edition
From Showroom to Server Room: AI in Auto Finance — Moving the Metal: The Auto Finance Podcast
31 Days to a More Effective Compliance Program: Day 13 - Policies and Procedures
AI Today in 5: January 13, 2026, The Ethical AI in Africa 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
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
Lending by EU credit institutions is regulated under the EU capital requirements regime. Under Article 4(1)(1) of CRR (Regulation (EU) 575/2013), “credit institutions” include deposit-taking banks as well as large MiFID...more
On December 12, 2025, Judge Sherilyn Peace Garnett of the United States District Court for the Central District of California granted in part and denied in part a motion to dismiss a proposed investor class action against a...more
As the fund finance industry continues to grow in numbers, it may seem challenging initially for banks and financial institutions outside of this space to jump in with confidence as new lenders. Joining an existing fund...more
A Structured Products Primer on the Uses of Rule 424(b) and Rule 433 - Rules 424(b) and Rule 433 under the Securities Act of 1933 (“Securities Act”) are the two primary filing mechanisms for preliminary offering...more
Overview: On December 19, 2025, the Federal Reserve Board issued a Request for Information (“RFI”) on a proposed “Payment Account prototype.” The proposal responds to growing pressure from payments-focused institutions —...more
On January 7, 2026, the Securities and Exchange Commission (“SEC”) proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as “small...more
The 2026 Italian Budget Law was published in the Italian Official Gazette on December 31, 2025. It introduces significant changes to Italy’s tax framework with material implications for investors, financial intermediaries,...more
Welcome to your weekly update from the A&O Shearman Pensions team, covering all the latest legal and regulatory developments in the world of workplace pensions....more
The Comprehensive Outbound Investment National Security Act of 2025 codifies the framework of the U.S. Department of the Treasury’s outbound investment security program, though with notable and significant differences that,...more
The Qatar Financial Centre (QFC), Dubai International Financial Centre (DIFC), and Abu Dhabi Global Market (ADGM) have taken a significant step forward in regional regulatory cooperation by mutually recognising each other's...more
Opportunities for fraud have never been greater. Both the number of cases and the amounts at stake are vast1 and advances in technology allow fraudsters to deploy increasingly sophisticated and tailored techniques. Moreover,...more
The Italian Legislative Decree implementing Directive (EU) 2024/1619 (“CRD6”) and Regulation (EU) 2024/1623 (“CRR3”) has been published in the Official Gazette. Inter alia, it amends and supplements the provisions of...more
The European Supervisory Authorities (ESAs, comprising the European Banking Authority, European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority) has published a final report...more
Ring-fencing was a key component of the UK’s response to the financial crisis of 2008–2009. As has been widely acknowledged, subsequent regulatory reforms in banking regulation (in particular, those relating to capital,...more
The UK Financial Conduct Authority (FCA) has published a new suite of webpages outlining its approach to the upcoming regulatory regime for cryptoasset activities. The regime will be implemented under the Financial Services...more
Commission Delegated Regulation 2026/73 has been published in the Official Journal of the European Union (OJ). The Delegated Regulation, adopted on 4 July, amends Delegated Regulation (EU) 2021/2178 to simplify reporting...more
Eir Partners Capital announced the closing of its third fund. The fund, Eir Partners III, closed with aggregate capital commitments of $1 billion, exceeding its target of $800 million....more
A consultation paper published in early 2025 by His Majesty’s Treasury (HMT) and a parallel call for input by the UK Financial Conduct Authority (FCA) contemplated the repeal and replacement of the UK Alternative Investment...more
The Federal Trade Commission (FTC) has announced its annual revision to the jurisdictional thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (HSR Act)....more
Last week, the New York State Department of Financial Services (DFS) announced a new regulation designed to ensure that licensed nonbank mortgage bankers in New York (“mortgage lenders”) meet the needs of the communities they...more
The Court of Appeal has provided helpful guidance on the circumstances in which the English courts will uphold waivers of valuable legal rights. The key is to ensure the contractual wording is sufficiently clear – and the...more
Prior to the enactment of Section 409A, no single section of the Internal Revenue Code governed taxation of nonqualified deferred compensation. Income inclusion of deferred compensation was historically governed by a variety...more
On Jan. 15, U.S. Senate Banking Committee Chairman Tim Scott (R-S.C.) announced that the Committee will be postponing the markup hearing for the comprehensive digital asset market structure legislation which was originally...more