10 For 10: Top Compliance Stories For the Week Ending December 6, 2025
Compliance Tip of the Day: M&A-Pre-Acquisition: Final Lessons
From the Editor’s Desk: Compliance Week’s Insights and Reflections for November and into December 2025
Compliance and AI: Navigating the Challenges and Opportunities of Agentic AI in Compliance
AI Today in 5: December 5, 2025, The AI Doesn’t Know How to Learn Edition
Daily Compliance News: December 5, 2025, The White Collar Criminal Enterprise Edition
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
On December 1, House Financial Services Committee Chairman French Hill (R-AR) and Oversight Subcommittee Chairman Dan Meuser (R-PA) released a final staff report detailing findings from a Republican-led investigation into...more
On November 28, FinCEN issued an alert as part of Treasury’s efforts to combat exploitation of the U.S. financial system by individuals without legal status seeking to remit potentially illicit funds. ...more
WindRose Health Investors has announced the closing of its seventh fund. The fund, WindRose Health Investors VII, closed with $2.6 billion in commitments. Fund VII, which closed at its hard cap, is targeting 11–13...more
On November 17, the SEC’s Division of Examinations published its 2026 examination priorities, outlining key areas of regulatory focus for the upcoming year. ...more
This year has seen a record percentage of whistleblower claim denials by the U.S. Securities and Exchange Commission. This rising trend of award denials is a departure from the SEC’s previous track record and may reflect a...more
The UK Financial Conduct Authority (FCA) has published findings from its data quality review of prudential regulatory reporting by MIFIDPRU investment firms, covering submissions from January 2024 to March 2025. The FCA found...more
Food Venture Financing Trends - Ripple Foods, a maker of high-protein, allergen-free plant-based milk products, announced that it raised $17 million in a strategic financing round....more
Last Week in our BLOG article: “It’s Unanimous – The Fourth Department Joins the Other Departments and Confirms the Retroactive Application of FAPA,” we again discussed FAPA and noted that on November 25, 2025, the New York...more
The European Banking Authority (EBA) has published a peer review report assessing how competent authorities have implemented and supervised gender diversity requirements. EU legislation requires that credit institutions have...more
Contingent liabilities – particularly those tied to litigation, regulatory exposure, or environmental matters – are among the most consistently underestimated threats in corporate finance. When misjudged or ignored, these...more
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice for navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
The UK Financial Conduct Authority (FCA) has published a new webpage announcing the launch of a special stablecoins cohort within its Regulatory Sandbox for firms issuing stablecoins. This will enable UK firms planning to...more
Welcome to AI Today in 5, the newest edition 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
Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes Nicole Di Schino, Principal Compliance Services Consultant at Diligent’s Spark Compliance Group, to...more
In Fiscal Year 2026, ending September 30, 2026, the CFPB will need $279.6 million just to maintain its activities that are required by law, Bureau Acting Director Russell Vought wrote in letters to House and Senate...more
The European Parliament (EP) has adopted a resolution on the impact of AI on the financial sector. This follows the final report published by the EP's Committee on Economic and Monetary Affairs (ECON) earlier in November. The...more
When Tim Berners-Lee and his team at CERN formalized the Hypertext Transfer Protocol in the early 1990s, they reserved HTTP status code 402 with the designation “Payment Required.” The 1996 HTTP/1.0 specification (RFC 1945)...more
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
This advisory provides a general summary of the New York Limited Liability Company Transparency Act (NY LLCTA) and its requirements and is not intended to, and does not, provide legal, compliance or other advice to any...more
Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance stories you need to know to end your busy week. Sit...more
As AI evolves, agentic AI has emerged as one of 2025's defining tech trends - autonomous AI systems capable of decision-making and executing complex tasks with limited or no human input. Financial institutions are already...more
Market participants are increasingly focused on a developing liability management strategy in which borrowers and majority lenders are exploring whether amendments to grace periods and Event of Default provisions can be used...more
Earlier this week, Securities and Exchange Commission Chair Atkins gave remarks that provided a perspective on measures intended to promote capital formation. Speaking at the New York Stock Exchange, of course, he noted the...more
From 29 June 2028, any firm wishing to provide certain types of “ESG rating” in the UK will need FCA authorisation. The government consulted on this in 2023, and in October 2025 it published draft legislation to implement...more
Summary Exam focus remains anchored in longstanding concerns: fiduciary duties, conflicts of interest, valuation, fees and expenses, operational resiliency, and disclosures and filing obligations, despite greater transparency...more