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 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
Overview - As public companies prepare for the 2026 proxy and annual reporting season, significant regulatory and market developments are shaping disclosure practices, governance and investor engagement. This update...more
The CFPB, under former Director Rohit Chopra, regularly engaged in regulatory overreach, the Bureau’s current leadership said in its semi-annual report, covering the period from April 1- September 30, 2024. “As indicated...more
The European Securities and Markets Authority (ESMA) has published its final report with guidelines on stress test scenarios under the Money Market Funds Regulation (MMF Regulation). ESMA updates these guidelines at least...more
Recent changes to the UK public offer, admission to trading and prospectus regime from January 19, 2026 have implications for issuers and other parties involved in debt capital markets transactions offered, or listed on a...more
The Senate Banking Committee delayed its scheduled markup of the digital asset market structure legislation as bipartisan negotiations continue. A key point of contention is a provision prohibiting digital asset service...more
On September 17, 2025, the SEC issued an order approving new “generic” listing standards that are music to the ears of commodity-based exchange-traded products (ETPs), including those backed by crypto assets. Importantly, the...more
Promising that the NCUA will not engage in “regulation by enforcement,” NCUA Chairman Kyle Hauptman has sent a letter to credit unions outlining his supervisory priorities for 2026. “NCUA is dedicated to supporting credit...more
The UK FCA has fined a capital markets adviser to an energy company £100,281 – and banned him from working in financial services – for insider dealing. The action illustrates the comparatively low threshold for what may...more
Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In...more
In this episode of FCRA Focus, host Dave Gettings is joined by Troutman colleagues Cindy Hanson and Noah DiPasquale for a deep dive into reseller litigation under the Fair Credit Reporting Act. The trio breaks down what a...more
The new Administration has a clear mandate to provide a securities regulatory pathway for crypto, but it had been unclear whether the SEC would take the initiative in building a framework for crypto regulation, or whether...more
Dive into the world of compliance and high-stakes investigations! In this episode of #GWIC, Hemma Lomax talks with Jamie Hoxie Solano, Partner at Dynamis LLP and former federal prosecutor, about how compliance and legal...more
The annual JPM Healthcare Conference held in early January sets the stage for the year of life science deals. Unlike the pre-COVID days when San Francisco’s streets were jam-packed and “entrepreneurial” locals tried to rent...more
Beginning in 2026, a new law — the Fair Investment Practices by Venture Capital Companies Act (“FIPVCC”) — imposes new obligations on a wide array of asset management firms that operate in California, make investments in...more
The Council and the Parliament have published their respective compromise positions and draft rapporteur reports on the Commission's proposals to revise the EU's securitisation framework. Extensive changes are proposed...more