Compliance into the Weeds: Live from the Floor of ACI
Investing in Resilience: How Extreme Weather is Reshaping Infrastructure Investment and Risk
Great Women in Compliance - Global Corruption Prevention: A View from France
Compliance Tip of the Day – Improvement of Internal Controls
AI Today in 5: December 10, 2025, The Redefining Compliance Edition
Daily Compliance News: December 10, 2025, The US Credibility Under Strain Edition
Compliance Tip of the Day - Monitoring of Internal Controls
Inside the Homebuyers Privacy Protection Act: A Conversation With the Mortgage Bankers Association — FCRA Focus Podcast
AI Today in 5: December 9, 2025, The One AI Rule Edition
Daily Compliance News: December 9, 2025, The Lawyers, Guns and Money Edition
Sunday Book Review: December 7, 2025, The Best Books on History Edition
Compliance Tip of the Day - What Can Lead to an Internal Control Over-ride
AI Today in 5: December 8, 2025, The AI in Battling Edition
FCPA Compliance Report - Nicole Di Schino on Harnessing AI for Compliance: Governance, Risks, and Best Practices
Daily Compliance News: December 8, 2025, The Surviving Holiday Parties Edition
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
Daily Compliance News: December 5, 2025, The White Collar Criminal Enterprise Edition
Three nonprofit organizations have filed a complaint in the Northern District of California seeking declaratory and injunctive relief to prevent what they describe as a de facto shutdown of the Consumer Financial Protection...more
On December 2, 2025, Brian Daly, Director of the Securities and Exchange Commission (the “SEC”) Division of Investment Management (the “Division”), delivered remarks to the American Bar Association outlining the Division’s...more
On December 3, 2025, the Securities and Exchange Commission (the “SEC”) issued an exemptive order to postpone the compliance deadline for Rule 13f-2 under the Securities Exchange Act of 1934 by two years. The new deadline...more
On 8 December 2025, the United Kingdom’s Financial Conduct Authority (“FCA”) published a consultation paper (CP25/36) on amending its rules on client categorisation and conflicts of interest (the “Consultation Paper”)....more
In October 2025, the U.S. Financial Crimes Enforcement Network (FinCEN) released its latest Financial Trend Analysis (FTA) on Iranian shadow banking. The report offers one of the clearest pictures to date of how Iran...more
No need to bring a crib sheet, the US Securities and Exchange Commission (SEC) Division of Examinations just revealed (some of) this year’s test....more
There’s an awful lot of happy talk going around about 2026. Apparently, that’s the year we were supposed to stay alive till. I surely hope the talk is right, even if it doesn’t rhyme. 2025 was a pretty darn good year for...more
In furtherance of its Crypto Sprint initiative and its implementation of the recommendations in the White House digital asset report ("White House Report") released over the summer, on December 8, 2025, the CFTC issued new...more
Institutional clients prioritise scale, credibility and compliance in the digital assets sector. Distribution challenges and strict marketing restrictions remain as significant hurdles for businesses....more
The U.S. Securities and Exchange Commission’s Division of Trading and Markets has finally answered a question that has hovered over independent broker-dealers for years: when can a registered representative’s own LLC or...more
The Bank of England's (BoE) Financial Policy Committee (FPC) has published a Financial Stability in Focus report, revisiting its assessment of bank capital requirements. The FPC now judges that the appropriate benchmark for...more
On November 21, Delaware Attorney General Kathy Jennings’s Investor Protection Unit (IPU) announced a $995,180 penalty against Kovack Advisors, Inc. (Kovack) for a series of violations of the Delaware Securities Act. The...more
The Australian Federal Police (AFP) has charged the director of a registered remittance company for allegedly remitting approximately $649,000 to sanctioned Iranian banks, in contravention of Australia’s autonomous sanctions...more
The UK Financial Conduct Authority (FCA) has published an update on its forthcoming review of the access to cash regime. The regime, introduced under the Financial Services and Markets Act 2023, seeks to maintain responsible...more
On November 21, 2025, the Market Participants Division of the Commodity Futures Trading Commission (CFTC) issued a no-action letter granting relief to financial institutions engaging in certain credit risk transfer (CRT)...more
The Single Resolution Board (SRB) has published a list of consultations and industry requests for 2026. The list is presented in four tables covering expected consultations, data requests and deliverables arising from EU...more
Structured finance has provided Mexican borrowers with a reliable source of capital through a period of political and macroeconomic uncertainty - In an uncertain market, where Mexican lenders have grappled with new...more
The Supreme Court should abandon a 90-year-old precedent and decide that President Trump should be permitted to fire Rebecca Slaughter from the Federal Trade Commission without cause, Solicitor General D. John Sauer told the...more
The UK Prudential Regulation Authority (PRA) has published a letter addressed to credit union directors. It summarises key findings from its 2025 assessment of credit unions with assets up to GBP50 million and sets out...more
In this crossover episode of The Consumer Finance Podcast and Payments Pros, Jason Cover sits down with Brooke Conkle and Caleb Rosenberg to demystify the Federal Trade Commission's Holder Rule and its day-to-day impact on...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
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 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
The Consumer Financial Protection Bureau (“CFPB”), which has seen the scope of its activities, funding and staffing dramatically impacted since January of this year, has introduced a “Humility Pledge” that must be read at the...more
Although the window for filing lawsuits under the Child Victims Act (CVA) closed over four years ago, thousands of cases remain pending in courts throughout New York State....more