Compliance into the Weeds: Argentieri Speech and Updated ECCP – The First Analysis
Compliance Tip of the Day: Lesson from The John Deere FCPA Enforcement Action – Pre – acquisition Due Diligence
Daily Compliance News: September 25, 2024 – The $11bn Forfeiture Edition
Breaking Down Credit Reporting With Credit Builders Alliance — FCRA Focus Podcast
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Makes it a Securities Offering?
Shout Outs and Rants – Episode 141
All Things Investigations: Anchored in Fraud: Mike DeBernardis and Shayda Vance on Austal USA’s Scandal
Daily Compliance News: September 24, 2024 – The Revised ECCP Released Edition
The Ethics Experts: Episode 183 – Julie Winkle Giulioni
Corruption Crime and Compliance: Nicolas Garcia, GC at Orica, on Compliance Trends and Challenges in Latin America
FCPA Compliance Report: Jon May Critiques The DOJ Whistleblower Financial Incentive Program
Compliance Tip of the Day: Everything Old is New Again: The John Deere FCPA Enforcement Action
Daily Compliance News: September 23, 2024 – The That Old Time Religion Edition
Sunday Book Review: September 21, 2024, Books on Venice Edition
Megatrax Trailblazers Podcast: Episode 41 - Tom Fox (Voice of Compliance Podcast Network)
JONES DAY TALKS®: A Trip to the Dark Side – Venture Capital Down Rounds and Recaps
Creativity and Compliance: Transforming Toxic Cultures
Compliance Tip of the Day: How A CEO Can Set The Tone at The Top with Town Halls
Fox on Podcasting: Enhancing Your Podcast with Megatrax: Ileana Landon’s Expert Insights
In this week’s edition, we discuss the investor expectations set out by the Finance Sector Deforestation Action for banks to address the financial risks of deforestation; the Voluntary Carbon Markets Integrity initiative’s...more
The U.S. Department of Labor’s (the “DOL”) amendment to the qualified professional asset manager (“QPAM”) prohibited transaction class exemption 84-14 (the “Exemption”) went into effect on June 17, 2024. Current QPAMs must...more
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •The SEC’s case against crypto firm Kraken is permitted to...more
The U.S. District Court for the District of Nevada granted a defendant’s motion for summary judgment in a case arising under the Fair Debt Collection Practices Act (FDCPA) and the Telephone Consumer Protection Act (TCPA). It...more
On September 19th, 2024, the CSSF published its 2023 annual report, highlighting key regulatory challenges, particularly in the realm of crypto-assets following the implementation of the Markets in Crypto-Assets Regulation...more
On September 17, 2024, the Department of Justice Antitrust Division (DOJ) shut the vault doors on its 1995 Bank Merger Guidelines, leaving the 2023 Merger Guidelines as its sole authoritative statement on the topic of mergers...more
Pig Butchering Crypto Scams are scams which resemble the practice of fattening a hog before slaughter....more
New York City recently released updated Commercial Property Assessed Clean Energy (C-PACE) guidelines which are expected to open up opportunities for owners to obtain C-PACE financing for new construction and energy retrofit...more
The government of the British Virgin Islands (“BVI”) and the BVI Financial Services Commission (“FSC”) – the principal financial services regulator – have progressed important initiatives in recent years that demonstrate the...more
As the interplay between export controls, trade sanctions, and anticorruption enforcement continues to intensify, multinational companies must remain vigilant in ensuring that their compliance programs address the many...more
The Financial Conduct Authority has published its findings from the first year of the implementation of the price and value outcome under the Consumer Duty. The specific focus of the price and value outcome rules is to ensure...more
The Cayman Islands (“Cayman”) is recognised as a leading international financial centre and well regarded as a creditor-friendly jurisdiction (with the absence of debtor-friendly insolvency such as Chapter XI in the United...more
Welcome to award-winning The Hill Country Podcast. The Texas Hill Country is one of the most beautiful places on earth. In this podcast, Hill Country resident Tom Fox visits with the people and organizations that make this...more
The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting...more
Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...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 to the Daily Compliance News. All...more
O Superior Tribunal de Justiça (STJ) decidiu que as opções de compra de ações concedidas a administradores e empregados tem caráter mercantil e não remuneratório. Com isso, o Imposto de Renda da Pessoa Física (IRPF) não pode...more
On September 19, 2024, the Ontario Securities Commission (“OSC”) published proposed OSC Rule 44-503 Exemption from Certain Prospectus Requirements for Well-known Seasoned Issuers (the “Rule”). Subject to ministerial approval,...more
As a lending lawyer for more than a quarter century at this point, I have seen that deposit accounts and deposit account control agreements are a routine component of virtually every transaction. Deposit accounts are a source...more
According to the introductory paragraph of the guidelines issued by the Financial Crimes Enforcement Network (“FinCEN”) of the United States Treasury, “[i]llicit actors frequently use corporate structures such as shell and...more
Post Brexit, the U.K. Government and Financial Conduct Authority are committed to the ongoing reform programme to reinvigorate the U.K.'s capital markets. As part of this, the Government and FCA are committed to replacing...more
The Payment Systems Authority has published a consultation paper on a draft statement of policy on its cost benefit analysis (CBA) framework. The draft statement builds on and replaces the draft CBA framework published...more
The Commodity Futures Trading Commission (CFTC) on Sept. 20, 2024, finalized guidance (the Final Guidance) regarding the listing of voluntary carbon credit (VCC) derivatives on CFTC‑regulated exchanges. The CFTC previously...more
Dually registered, or “dual hat,” investment advisers are already well aware of the extensive obligations imposed by the Bank Secrecy Act (“BSA”). But for others, the finalization of a Financial Crimes Enforcement Network...more
Aggregate global M&A deal value is up significantly in 2024 (even though deal volume is down), driven in large part by the announcement of megadeals in the U.S., and reflecting an appetite for dealmaking in the medium term....more