AI Today in 5: March 11, 2026, The AI Compliance is a People Risk Edition
Great Women in Compliance: Reflections on Investigations, Culture and the Future
Compliance into the Weeds: Carrots and Sticks in Washington: Antitrust Whistleblowers and an FCPA SOL Extension
Daily Compliance News: March 11, 2026, The Takes a Bite Edition
The PFBCon Podcast: From Mic to Millions: AI-Powered Sponsorship, Licensing & Equity Strategies for Podcasters
AI Today in 5: March 10, 2026, The Good, The Bad and The Ugly Edition
Innovation in Compliance: Jim Massey on Risk in Action
[Video] New Regulatory Priorities Under Mayor Mamdani’s NYC Department of Consumer and Worker Protection
Turning Point for Digital Assets: 2025 Year in Review and What Comes Next — The Crypto Exchange Podcast
Daily Compliance News: March 10, 2026, The More ABC Laws Edition
AI Today in 5: March 9, 2026, The Dr. AI is In Edition
FCPA Compliance Report: Highlights from SCCE Europe with Gerry Zack
Daily Compliance News: March 9, 2026, The Death Carve Out for Betting Edition
Sunday Book Review: March 8, 2026, The Top Books on the End of the World Edition
AI Today in 5: March 6, 2026, The Captain Nemo Edition
Creativity and Compliance: Captain Compliance: Humor, Characters, and Creative Training at Premera Blue Cross
Daily Compliance News: March 6, 2026, The Does ChatGPT Practice Law Edition
EB-5: Immigrant First Investing with Ira Kurzban
Disparate Impact
Year in Review and Look Ahead: Fair Lending and UDAAP in the Trump 2.0 Era — Federal Pullback, State Pushback, and What Comes Next — The Consumer Finance Podcast
The SEC has adopted a final rule implementing the Holding Foreign Insiders Accountable Act that, effective March 18, 2026, subjects directors and officers of foreign private issuers to the insider ownership reporting regime...more
On March 2, 2026, the Office of the Comptroller of the Currency (OCC) finalized amendments to its existing rule on national bank chartering to affirm the authority of national trust banks to engage in non-fiduciary...more
The recently enacted Holding Foreign Insiders Accountable (HFIA) Act was designed to make the holdings and transactions of directors and officers of foreign private issuers (FPIs) more transparent. Our Securities Group breaks...more
On February 12, 2026, Judge Lee Rosenthal of the United States District Court for the Southern District of Texas upheld an opt-out third-party release provision contained in The Container Store Group, Inc.’s chapter 11 plan,...more
The Financial Action Task Force (FATF) has issued a targeted report setting out the money laundering (ML), terrorist financing (TF) and proliferation financing (PF) risks and vulnerabilities related to stablecoins and...more
The U.S. Department of the Treasury (Treasury) has delivered to Congress the report on Innovative Technologies to Counter Illicit Finance Involving Digital Assets, as required by the Guiding and Establishing National...more
The European Securities and Markets Authority (ESMA) has published two final reports with final draft regulatory technical standards (RTS) mandated under the review of the European Market Infrastructure Regulation (EMIR 3)....more
A recent non-precedential decision from the Pennsylvania Superior Court offers financial services businesses and professionals in the wealth management sector key lessons on restrictive covenants and client transitions. In a...more
Under Part IVA of the Employment Rights Act 1996, “protected disclosures”– which is the UK legislative term for “whistleblowing reports”can be made either to an employer or to certain “prescribed persons”. For those working...more
In the current uncertain economic environment, navigating complex capital and credit market conditions has become a core pillar of effective corporate stewardship. Boards of directors (responsible for enterprise-wide risk...more
The UK Financial Conduct Authority (FCA) has announced it has opened the authorisation gateway for targeted support, enabling firms to apply for permission to provide a new regulated form of support. From 6 April, authorised...more
Gov. Kathy Hochul and the New York Department of Financial Services (DFS) on February 23, 2026, issued a Draft Proposal that would, for the first time, establish a comprehensive regulatory framework for buy-now-pay-later...more
To keep you informed of recent activities, below are several of the most significant federal events that have influenced the Consumer Financial Services industry over the past week. ...more
For years, U.S. cybersecurity policy has largely followed a familiar formula: strengthen defenses, share threat intelligence, and improve resilience after attacks occur. But as ransomware gangs cripple hospitals, nation-state...more
On March 5, 2026, the IRS issued proposed regulations (the Proposed Regulations) setting forth an alternative process for digital asset brokers to obtain consent from customers to receive Form 1099-DA statements...more
As we recently reported, in the wake of the Tenth Circuit’s decision in National Association of Industrial Bankers v. Weiser, 159 F.4th 694 (10th Cir. 2025), Oregon legislators re‑introduced H.B. 4116—legislation designed to...more
On February 11, the National Credit Union Administration (NCUA) released a proposed rule to implement the Guiding and Establishing National Innovation for U.S. Stablecoins Act (the GENIUS Act) for federally insured credit...more
The European Commission (EC) has launched a consultation seeking feedback on obstacles faced by private equity investors when exiting investments in EU private companies and on potential ways to address these obstacles. The...more
California's mandatory venture capital diversity reporting program under the Fair Investment Practices by Venture Capital Companies Law is live – and the first filing deadline is fast approaching. By April 1, 2026, and...more
Welcome to AI Today in 5, the newest addition 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
The European Banking Authority (EBA) has published its final guidelines on instruments available for third-country branches (TCBs) for unrestricted and immediate use to cover risks or losses under Article 48e(2)(c) of the...more
New York employers who do not offer a retirement plan are about to face a new compliance obligation. The New York Secure Choice Savings Program requires covered private-sector employers to automatically enroll their employees...more
Over the past year, as discussed in our prior alerts, the Administration’s terrorism designations of narcotics cartels operating in Latin America, its novel and aggressive use of national security tools to pursue cartels, and...more
On 25 February 2026,1 the SEC, in one of the few cases brought to-date against a private fund adviser under Chair Atkins, settled charges with a private fund adviser regarding its valuation practices. This case involved...more
On 13 February 2026, the Financial Crimes Enforcement Network (FinCEN) issued Order FIN-2026-R001 (the Order), granting exceptive relief from FinCEN’s requirement that covered financial institutions identify the beneficial...more