Regulatory Ramblings: Episode 83 - Hong Kong’s New Protection of Critical Infrastructures (Computer Systems) Ordinance
Point-of-Sale Finance Series: Solar Finance Under the Microscope — Payments Pros – The Payments Law Podcast
Point-of-Sale Finance Series: Solar Finance Under the Microscope — The Consumer Finance Podcast
Everything Compliance: Episode 162, The Numbers, Numbers, Numbers Edition
Compliance Tip of the Day - M&A - Pre-Acquisition: Reviewing Financial and Operational Data
AI Today in 5: December 4, 2025, The Microsoft Blips Edition
Daily Compliance News: December 4, 2025, The End of the Pyramid Edition
Great Woman in Compliance: GWIC Joins Everything Compliance
AI Today in 5: December 3, 2025, The Code Red Edition
Compliance into the Weeds: Understanding SFO Guidance and Compliance Program Assessments
Daily Compliance News: December 3, 2025, The COI Comes to Football Edition
Deal-by-Deal Podcast: Debt Financing From LOI to Close: An Expert’s Guide
ACI-FCPA Conference Speaker Preview Series - Doing Business (and Compliance) in India with Joseph Azam
Everything Compliance: Shout Outs & Rants: Episode 162, Numbers, Numbers, Numbers
Compliance Tip of the Day – M&A-Pre-Acquisition: Conducting a Corruption Risk Assessment
Innovation in Compliance: Steph Holmes on Blending AI and Human Oversight for Effective Compliance
Daily Compliance News: December 2, 2025, The Tuna Bond Fraud Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What is this 40 Act?
ACI-FCPA Conference Speaker Preview Series - DOJ and FCPA Enforcement Update with David Last
Compliance Tip of the Day - M&A-Pre-Acquisition Phase: Understanding the Nature of the Problem
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
On November 17, 2025, the SEC’s Division of Corporation Finance (the “Division”) announced how it will handle requests relating to shareholder proposals under Rule 14a-8. During the 2025-2026 proxy season (until September 30,...more
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 8, 2025 in order to cover such fees (with a recommendation from IARD...more
As we previously reported here and here, a recent litigation trend against 401(k) plan sponsors concerns participant claims alleging that the use of plan forfeitures to offset future employer contributions results in a breach...more
In a recent decision, Brewer v. Turner, et al., Chancellor Kathaleen McCormick largely denied Regions Financial Corporation’s (“Regions”) motion to dismiss a shareholder derivative action, which sought to recover $191...more
Non-governmental, tax-exempt employers that sponsor 457(b) plans are required to make amendments to comply with the SECURE 2.0 Act of 2022 (including the SECURE Act of 2019) no later than December 31, 2025. As we previously...more
Yesterday, the Securities and Exchange Commission issued an order (the “Order”) that provides a temporary exemption from compliance with the short position and short activity reporting rule (Rule 13f-2 and Form SHO reporting)...more
On 2 December 2025, the Property (Digital Assets etc) Act 2025 received Royal Assent and came into force, completing its passage through Parliament. The Act confirms the pre-established common law position that a thing is...more
The spotlight chat begins with Wendy sharing why the Ordinance matters to Hong Kong and what it means for the territory’s digital regulatory landscape. She goes on to explain Invest Hong Kong’s role in raising awareness of...more
Public companies in the U.S. could soon be freed of the obligation to report financial information every quarter. The Securities and Exchange Commission (SEC) has indicated it will support shifting to a semiannual reporting...more
In our summer briefing we discussed global credit ratings agency AM Best’s proposal to overhaul how it rates cell company structures, including segregated portfolio companies (SPCs)....more
As the U.S. government takes multibillion-dollar stakes in private companies and steers capital in other ways unprecedented outside of wartime, should companies be worried or opportunistic?...more
On 22 November 2025, the European Commission published its long-awaited legislative proposal to ‘simplify’ the Sustainable Finance Disclosure Regulation (Draft SFDR 2.0), which will transform the existing disclosure regime...more
Oftentimes when dealing with a small business, especially a new one with limited credit history, it is wise to obtain a personal guarantee from the company’s principal. ...more
On November 17, 2025, the Division of Trading and Markets (the “Staff”) of the Securities and Exchange Commission (SEC) issued a no-action letter allowing a personal-services entity (PSE) to receive transaction-based...more
In Q3 2025, venture capital activity revealed a telling split in the fundraising landscape. Series A and B rounds saw improvements in both capital raised valuations ranging from 1.6% to 29%, marking investor confidence in...more
On November 17, 2025, the California Department of Financial Protection and Innovation (DFPI) announced that it had entered into consent order with a California-based lender to resolve allegations that the lender charged...more
On November 23, 2025, the Organisation for Economic Co-operation and Development (OECD) published a policy brief entitled “Boosting biotechnology innovation through agile regulation and finance instruments.” The policy brief...more
On 28 November 2025, the Financial Conduct Authority (FCA) published a policy statement (PS25/17) finalising rules proposed in its July 2025 consultation paper (CP25/20). The reforms remove the Systematic Internaliser (SI)...more
Digital assets are bought and sold globally, 24/7, can be divided into smaller and smaller ownership units, and can be transferred between buyers and sellers at low cost and with lightning speed around the world in a global...more
In 2024, the New York State Legislature directed the Superintendent of the Department of Financial Services (“DFS”) to issue regulations establishing uniform standards for the operation of hurricane deductibles in homeowners’...more
Le 13 novembre 2025, les Autorités canadiennes en valeurs mobilières (les « ACVM ») ont publié, à des fins de consultation, des projets de modification visant le Règlement 52-112 sur l’information concernant les mesures...more
fter 401(k)’d, The Greatest 401(k) Book Sequel Ever, and Full Circle, I figured it was time to get back to the nuts and bolts — the real world of being a 401(k) plan provider....more
Even as dealmaking shows signs of rallying, GP-led secondaries and continuation vehicle deals—which provided valuable alternative exit routes through a period of soft M&A activity—are set to remain an important strategic tool...more
On December 2, 2025, SEC Chairman Paul Atkins spoke at the New York Stock Exchange about the current state of U.S. capital markets, the challenges they face, and potential reforms to strengthen them. ...more