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
Innovation in Compliance: The Strategic Evolution of Compliance - Insights from Angie McPhail
Daily Compliance News: January 13, 2026, The Don’t Be a FED Chair Edition
Federal Hemp Ban Explained: A State-by-State Analysis & 2026 Outlook with Vicente LLP
Marijuana to Schedule III: What Changes, What Doesn’t, and What Comes Next
31 Days to a More Effective Compliance Program: Day 12 - The Importance and Construction of a Corporate Code of Conduct
All Things Investigations: Navigating Compliance Challenges in Venezuela’s Energy Sector
AI Today in 5: January 12, 2026, The Turning Comms into Compliance Edition
FCPA Compliance Report: Going into Venezuela, Navigating the Corruption Risks, a Conversation with Matt Ellis
Daily Compliance News: January 12, 2026, The Corruption is Free Speech Edition
31 Days to Effective Compliance Program: Day 11 - Moving Compliance Down into an Organization
Sunday Book Review: January 11, 2026, The Classic Crime Novel Homage Edition
31 Days to a More Effective Compliance Program: Day 10 - Leadership’s Role in Shaping Corporate Culture and Compliance
In a development that has not attracted sufficient industry attention, eleven commercial financing laws enacted to date require providers of certain types of commercial financing to disclose key terms to small businesses and...more
The Consumer Financial Protection Bureau (CFPB) issued an advisory opinion (the 2025 Opinion), effective 23 December 2025, on whether earned wage access (EWA) products constitute “credit” under Regulation Z of the Truth in...more
The Financial Conduct Authority (FCA) and the Pensions Regulator (TPR) are consulting further on the new value for money (VFM) framework for DC pension schemes. The consultation is intended to serve as...more
The Federal Reserve Board (the Board) has issued a Request for Information and Comment (RFI) on the development of a special purpose Reserve Bank account prototype, being referred to colloquially as a "skinny master account"...more
IPOs and Small Public Companies As we noted in our prior post, the Office of the Advocate for Small Business Capital Formation recently issued its Staff Report for fiscal year 2025, which provides information on the Office’s...more
Following a public consultation issued by the Italian Ministry of Economy and Finance, on 9 January 2026 the Italian Legislative Decree No. 212 of 31 December 2025 containing the implementation of Directive (EU) 2023/2225 on...more
The Fiscal Year 2026 National Defense Authorization Act, signed into law on December 18, 2025, includes the Comprehensive Outbound Investment National Security Act of 2025 (COINS Act), which establishes a statutory framework...more
The United States Securities and Exchange Commission (SEC) on Dec. 17 issued a statement noting its position on the applicability of Rule 15c3-3 regarding broker-dealers that hold crypto asset securities, including such...more
On January 9, 2026, the Consumer Financial Protection Bureau (CFPB) requested $145 million in new funding from the Federal Reserve....more
Institutional investment managers, including venture and private equity funds and other institutional investors, that engage in the short selling of equity securities should be mindful of the Securities and Exchange...more
On January 8, 2026, FINRA issued Regulatory Notice 26-02 announcing proposals for a new rule and revisions to two existing rules. FINRA seeks to revise Rule 4512’s provisions regarding trusted contact persons, to increase...more
The EB-5 market is set for another milestone year in 2026, and the American Lending Center (ALC) is continuing our focus on Immigrant First Investing....more
Welcome to Distressed Debt Legal Insights, Ropes & Gray’s source of timely insights for professionals navigating the complex world of liability management and special situations finance. In this issue we discuss the first...more
Introduction In August 2025, the Financial Industry Regulatory Authority Dispute Resolution Services (“FINRA DRS”) amended certain Rules related to the length of processing arbitration proceedings....more
Asia private capital dealmaking defies global uncertainties - We started 2025 by predicting that, after a subdued first quarter, data suggested an imminent uptick in the M&A and exit markets. That optimism proved to be...more
On January 9, 2026, U.S. Treasury Secretary Scott Bessent announced a series of new federal actions focused on schemes to defraud federal aid programs. Treasury’s announcement follows a series of high-profile investigations...more
The recent decision in Wanek v. Russell Investments demonstrates how retaining a 3(38) investment manager--selected through a well-documented process--may help limit an employer’s liability under its 401(k) plan....more
Veritas Capital announced one of its affiliates will acquire a majority stake in Global Healthcare Exchange (GHX). GHX, founded in 2000 and based in Louisville, Colorado, is a supply chain software platform....more
The U.S Department of the Treasury implemented the Final Rules governing outbound investment (the “Rule”) on January 2, 2025. As part of the National Defense Authorization Act of 2026, Congress enacted the Comprehensive...more
Overview of the SEC Staff Guidance- On December 17, 2025, the staff of the SEC’s Division of Trading and Markets (the, “Staff”) issued a statement, expressly limited in scope, regarding how broker-dealers that carry...more
J.P. Morgan continues to surprise us at lunch, with the Mayor of San Francisco sharing on Monday an update on recent improvements in the city. Then on Tuesday at the Grand Ballroom lunch, it was the first episode of my...more
In this article, we share a timeline of monthly "bites" for the past year applicable to fintech. Although we can identify numerous developments in the space in 2025, the most prominent development is the "all systems go"...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
Recent US actions resulting in the removal of Venezuelan President Nicolás Maduro from power represent a significant inflection point in US–Venezuela relations. These developments have prompted renewed scrutiny of sanctions,...more
The reforms aim to widen participation in the Saudi capital markets, deepen market liquidity, and enhance the attractiveness of the Main Market to international capital....more