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 UK Financial Ombudsman Service (FOS) has published its response to the UK Financial Conduct Authority's (FCA) consultation on simplifying pensions and investment advice rules. The FOS broadly supports the proposed shift...more
HM Treasury has published a call for evidence for the independent review into access to banking services, assessing the impact of the decline in face-to-face services across the UK. The review will consider: (i) which...more
Record deals, government-backed megaprojects and a race to power Europe’s data centers are drawing capital into a sector long considered politically untouchable...more
Our Investment Funds Group examines recent National Futures Association amendments that provide members with additional flexibility in structuring branch office supervision while maintaining their obligation to ensure...more
After a series of industry roundtables and clear messaging from Chairman Paul S. Atkins regarding his ongoing objections following his dissent more than two decades ago, the US Securities and Exchange Commission (the SEC or...more
On June 9, NYDFS announced a proposed regulation to update New York’s U.S. dollar-backed stablecoin framework to conform to federal requirements for state frameworks under the GENIUS Act, which was enacted in July 2025. ...more
On June 5, the U.S. Court of Appeals for the D.C. Circuit affirmed CFTC orders denying a foreign exchange trader’s application for a whistleblower award related to five successful enforcement actions against banks whose...more
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