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
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
The IRS has released the 2026 cost-of-living adjustments to certain limits, thresholds and penalties that apply to employee benefits plans and programs. The following charts provide the applicable limits for 2026 in...more
On December 3, 2025, the Securities and Exchange Commission (SEC) issued an exemptive order extending the compliance dates for two rules: Rule 10c-1a (Reporting of Securities Loans) Rule 13f-2 (Short Position and Short...more
On 20th November 2025 we were delighted to host banks, payments firms, FinTechs, legislators, regulators, and policymakers at our London office for the Hogan Lovells Payments Conference 2025. At the event we explored key...more
Under the current regime, eligible UCITS funds from specified jurisdictions are afforded a streamlined authorisation process with the SFC in order to be marketed and sold to retail investors in Hong Kong. All SFC-authorised...more
In May 2025, the Securities and Futures Commission (the “SFC”) formally launched the mutual recognition of funds arrangement between Hong Kong and Ireland (the “Ireland-HK MRF”) in collaboration with the Central Bank of...more
Based in New York, Mike has over 13 years of banking experience, and a degree in finance and mathematics from the University of Notre Dame. With PNC since 2014, Matt is based in Philadelphia and has a degree in economics and...more
Companies that map data breach trend lines against industry-specific obligations can convert raw statistics into risk governance strategies. This exercise can be especially valuable amid fast-shifting attack techniques,...more
On 3 December 2025, the PRA published Policy Statement 25/25 (PS25/25), finalising proposals from CP10/25 and introducing Supervisory Statement 4/25 (SS4/25). This replaces SS3/19 and sets out updated expectations on how...more
Traditional pensions, known as defined benefit plans, have been on the decline since their heyday in the 1960s. Guaranteed lifetime income was a key feature of traditional pension plans. Benefits under a plan would be paid...more
Stablecoins—digital tokens designed to maintain a stable value by being pegged to fiat currencies—have emerged as a critical bridge between traditional finance and the digital asset ecosystem. Both the United Kingdom and the...more
The EU Commission estimates that the proposed 15% Taxonomy alignment threshold should be attainable for about half of the current investment funds disclosing under Article 9....more
The old saying that “Independent Directors are like parsley on a fish: technically they are there, but they are largely decorative” is now very much defunct in the context of the Cayman Islands (re)insurance industry....more
Under a regulation recently finalized by the California Franchise Tax Board (FTB), fees received by asset managers may be subject to income tax in California based on the domicile of a fund’s underlying investors or...more
On 14 November 2025, the Prudential Regulation Authority (PRA) published Discussion Paper 2/25, “Alternative Life Capital: Supporting Innovation in the Life Insurance Sector,” which starts the PRA’s engagement with...more
I n Pirates of the Caribbean, Captain Jack Sparrow said, “Dead men tell no tales.” That’s true for pirates, but not for dead 401(k) plans. When a plan dies, it has a lot to say. It whispers through old payroll files, missing...more
While the figures may differ between US and European AI deals, the drivers and challenges are similar, and competition is fierce on both sides of the Atlantic - Artificial intelligence has moved from science fiction to...more
When I read that Securian Financial is joining forces with Custodia Financial to bring their “Retirement Loan Protection” (RLP) program into more in-plan offerings, I immediately thought about how many times I’ve seen plan...more
On December 1, 2025, the Federal Reserve released its semiannual Supervision and Regulation Report describing a broad reduction in outstanding supervisory findings across institutions of all sizes. The report indicates...more
The European Commission has adopted a Delegated Regulation amending Delegated Regulation (EU) 2017/567 as regards regulatory technical standards (RTS) on equity transparency requirements under the Markets in Financial...more