FCPA Compliance Report: Data Defensibility: The Foundation of AI Readiness with George Tziahanas
Daily Compliance News: June 15, 2026 – The SBF Loses His Appeal Edition
Sunday Book Review: June 14, 2026, The Top Books on the Continental Congress Edition
Episode 424: When the Government Pulls the Plug: Export Controls, Anthropic, and the AI Governance Crisis
AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week – June 12, 2026
Creativity and Compliance: Compliance 6-Pack: Part 5 – Truth in Comedy – Authenticity and Storytelling for More Credible Compliance
AI Today in 5: June 12, 2026, The Everyone’s a Stakeholder Edition
2 Gurus Talk Compliance: Episode 78 – A Brave New World Edition
AI in Financial Services in 5 Stories – Week Ending June 12, 2026
Back to Basics: Inside the SEC's New Enforcement Priorities — Regulatory Oversight Podcast
Daily Compliance News: June 12, 2026, The What is Anti-DEI? Edition
AI Today in 5: June 11, 2026, The OpenAI & Compliance Edition
MLA and SCRA 101: Servicemember Credit Protections and Compliance Risks — The Consumer Finance Podcast
Daily Compliance News: June 11, 2026, The DeBanking Edition
Powering Progress | Ep. 7 – Scaling the Deal
AI Today in 5: June 10, 2026, The End of Legacy Compliance Edition
Great Women in Compliance: Raising the Bar on Compliance Training
Daily Compliance News: June 10, 2026, The Integrity is Not Optional Edition
Everything Compliance: Shout Out & Rants - New Season, New Host and New Lineup
AI Today in 5: June 9, 2026, The OpenAI Files to go Public Edition
The SEC Division of Examinations issued a Risk Alert on June 9, 2026, providing the Division’s observations regarding advisers’ obligations relating to conflicts of interest disclosures. Specifically, the Division addresses...more
Des développements récents dans le secteur canadien des régimes de retraite témoignent d’un renforcement de la surveillance réglementaire, de changements aux exigences relatives aux opérations et d’une plus grande attention...more
What if your best compliance training strategy is not more rules, but more imagination? In this episode of Trekking Through Compliance, we revisit the Star Trek: The Original Series episode “Shore Leave” and ask a...more
On June 10, the CFTC issued a proposed rule that would create a framework to determine whether events contracts include certain unlawful or prohibited conduct, including terrorism, war, and gaming. The framework would...more
On June 12, the industry plaintiffs in the litigation challenging the Illinois Interchange Fee Prohibition Act (IFPA) moved the U.S. District Court for the Northern District of Illinois to reconsider in part its denial of...more
On June 10, the OCC, Fed, FDIC, NCUA, CFPB, FHFA, CFTC, SEC and Treasury finalized joint data standards under the Financial Data Transparency Act of 2022 to make financial regulatory data more interoperable across agencies....more
On June 11, 2026, the Supreme Court ruled that Section 47(b) of the Investment Company Act of 1940 (ICA), which governs mutual funds and other registered investment companies, does not provide private parties with a right to...more
The UK Financial Conduct Authority has entered into a Memorandum of Understanding with the UK Office of Financial Sanctions Implementation. The MoU replaces an earlier MoU dated 21 November 2023 and sets out cooperation...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 AI Today In 5....more
When plan providers lose a client, the first assumption is usually pricing. The advisor must have found a cheaper recordkeeper. The TPA must have been undercut by a competitor. The bundled provider must have offered a...more
On May 21, the House Financial Services Subcommittee on National Security, Illicit Finance, and International Financial Institutions held a hearing titled “Modernizing the BSA for Financial Crime in the 21st Century” to...more
FINRA confirms its rules align with Securities and Exchange Commission (SEC) no-action relief on personal services entities. In November 2025, SEC staff issued a no-action letter (NAL) providing that it would not recommend...more
Virginia’s 2026 legislative session introduces several impactful changes for financial institutions, with key provisions taking effect July 1, 2026. The updates focus on garnishments, mortgage servicing, and debt collection...more
In June, the Fed published its Supervision and Regulation Report, finding that the U.S. banking system maintained strong capital and liquidity levels, profitability, and healthy loan growth. The report states that more than...more
The U.S. Department of Labor (DOL) recently issued proposed regulations establishing a new prudence safe harbor for fiduciaries selecting designated investment alternatives for participant-directed retirement plans. The...more
On June 9, 2026, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Risk Alert”) identifying recurring deficiencies related to economic conflicts of interest observed by EXAMS staff in examinations of...more
On 10 June 2026, the Commodity Futures Trading Commission (CFTC or the Commission) published a Notice of Proposed Rulemaking (Proposal) seeking public comment on amendments to CFTC Regulation 40.11 and related provisions. As...more
Here are curated AG and federal regulatory news stories highlighting key areas in which state and federal regulators’ decisions are having an impact across the US: • AG James Multistate Coalition Secures $36.5 Million...more
In this episode, Tom Fox welcomes George Tziahanas, VP of Compliance and Associate General Counsel at Archive360, who brings a practical legal and governance perspective to the challenges of AI and data governance. George...more
On June 11, 2026, the SEC took two actions that could reshape U.S. equity market structure: 1. The SEC proposed rescinding Rule 611 (the “Trade-Through Rule”) of Regulation NMS, representing the most substantial...more
On June 10, 2026, the Commodity Futures Trading Commission (“CFTC”) issued a Notice of Proposed Rulemaking (the “Proposal”) related to event contracts traded on prediction markets, seeking public comments on proposed...more
In recent years, multinational companies operating in China have devoted significant attention to external risk factors such as geopolitical tensions and trade disputes. Yet while external risks command executive focus,...more
Food Venture Financing Trends - Nestlé acquired the remaining stake in yfood Labs GmbH, a European "smart food" RTD meals brand, in a deal valuing yfood at $523 million....more
As the United States approaches its 250th anniversary, it is worth reflecting on one of the country’s defining competitive advantages: its longstanding commitment to cross-border collaboration. The next wave of innovation is...more
On May 29, 2026, the United States Bankruptcy Court for the Southern District of Texas (the “Court”) issued a summary judgment order in an adversary proceeding between plaintiff Evolution Credit Opportunity Master Fund II-B...more