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
AI Today in 5: December 5, 2025, The AI Doesn’t Know How to Learn Edition
Daily Compliance News: December 5, 2025, The White Collar Criminal Enterprise Edition
Regulatory Ramblings: Episode 83 - Hong Kong’s New Protection of Critical Infrastructures (Computer Systems) Ordinance
Point-of-Sale Finance Series: Solar Finance Under the Microscope — Payments Pros – The Payments Law Podcast
Point-of-Sale Finance Series: Solar Finance Under the Microscope — The Consumer Finance Podcast
Everything Compliance: Episode 162, The Numbers, Numbers, Numbers Edition
Compliance Tip of the Day - M&A - Pre-Acquisition: Reviewing Financial and Operational Data
AI Today in 5: December 4, 2025, The Microsoft Blips Edition
Daily Compliance News: December 4, 2025, The End of the Pyramid Edition
Great Woman in Compliance: GWIC Joins Everything Compliance
AI Today in 5: December 3, 2025, The Code Red Edition
Compliance into the Weeds: Understanding SFO Guidance and Compliance Program Assessments
On November 21, the CFPB’s Supervision Division announced changes to its supervision examination process, introducing a new “Humility Pledge” to be read by examiners at the start of each exam. The Bureau stated the pledge...more
In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone curious. It could be books about business, compliance, history, leadership, current events,...more
The Fed recently published its semiannual Supervision and Regulation Report on supervisory and regulatory actions, as well as current banking conditions. The report found that, in the first half of 2025, most banking...more
On December 1, the OCC announced its fee and assessment structure for 2026, maintaining the reduced rates implemented in September for banks and keeping the hourly fee for special examinations and investigations unchanged....more
On December 2, the Congressional Research Service updated its overview of potential consequences if the National Flood Insurance Program (NFIP) is not reauthorized by January 30, 2026. The NFIP, which is the primary source of...more
On 17 November 2025, the Division of Corporation Finance (the Division) of the US Securities and Exchange Commission (the SEC) issued a statement announcing that it will not respond to or express views on most no-action...more
Crypto Firms Announce New Licenses, Products; USDT Stability Rating Lowered - On Nov. 25, MoonPay, a crypto payments company, announced that its newly established trust company obtained a trust charter from the New York...more
On November 21, the Congressional Research Service released a report reviewing possible disruptions in the U.S. Treasury securities market and outlining policy options. The nearly $30 trillion Treasury market is critical for...more
State AGs are increasingly shaping the regulatory environment for companies operating in tech, finance, healthcare, retail and beyond. Their initiatives—often bipartisan and coordinated across multiple states—can trigger...more
Our Securities Litigation and White Collar, Government & Internal Investigations Teams outline how Congress’s market structure proposals and the Securities and Exchange Commission’s (SEC) emerging token classification...more
On December 3, 2025, the Securities and Exchange Commission (the “SEC”) announced that it was providing a second temporary exemption from compliance with Rule 13f-2, the short sale reporting rule, and related Form SHO and...more
On December 1, 2025, the Commodity Futures Trading Commission (CFTC) announced amendments to its rules of practice and rules governing investigations, with the stated goal of enhancing transparency, fairness and due process....more
On 13 November, the UK Financial Reporting Council (FRC) published its Annual Review of Corporate Governance Reporting (the Review), setting out key findings from an analysis of a sample of 100 randomly selected companies...more
The Rhode Island Supreme Court has strengthened the hand of foreclosing mortgage lenders who do not possess the original promissory note. Before the Court’s recent decision in Porch Swing Holdings, LLC v. Wayne A. Mallory,...more
On December 1, 2025, the Commodity Futures Trading Commission (CFTC) announced revisions to its Rules of Practice and Rules Relating to Investigations to promote transparency and ensure due process in the commission’s...more
Alt-retail partnerships, which see alternative asset managers and retail asset managers coming together to offer retail investors exposure to alternative strategies, are increasingly in demand....more
On December 2, the House Financial Services Committee conducted an oversight hearing with testimony from leaders from the FDIC, OCC, Fed and NCUA. Lawmakers and regulators discussed recent efforts to tailor regulatory...more
On November 21, the CFPB released its annual report detailing its activities to administer the FDCPA, and summarizing trends in consumer complaints the Bureau received in 2024. The report also detailed actions by the FTC...more
On November 21, Fed Vice Chair Philip Jefferson addressed the Cleveland Fed’s Financial Stability Conference, focusing on the rapid adoption of AI and its implications for the economy, financial stability, and regulatory...more
In this first of a series of pieces on reinsurance financing we break down the key components involved in financing transactions for Cayman Islands reinsurance companies....more
On December 2, 2025, the U.S. District Court for the Southern District of New York approved a settlement between the U.S. Securities and Exchange Commission (SEC) and a broker-dealer for policy and procedure violations and a...more
Simplification of the EU Taxonomy Rules - Since 2020, European Regulation 2020/852 on the establishment of a framework to facilitate sustainable investment (the EU "Taxonomy Regulation") established a classification of...more
On 21 November 2025, the LSE published Feedback Statement: Shaping the Future of AIM, which summarises the feedback received on its April 2025 Discussion Paper proposing reforms to the AIM Rules....more
On November 17, 2025, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2026 examination priorities that highlight examination topics that the Division plans to focus on...more
Managers relying on exemptions under Commodity Futures Trading Commission (CFTC) Rules 4.13, 4.14, and 4.5 must complete their required annual affirmation within 60 days of year-end. Our Investment Funds Team highlights key...more