Compliance Tip of the Day: Embedded Compliance
Culture Crafters: Exploring Accountability and Culture in Corporate Leadership
Creativity and Compliance: Innovating Ethics - Creativity in Corporate Compliance with Katie Lawler
Daily Compliance News: March 21, 2025, The Fired Edition
Compliance and AI: Ali Khan on Implementing AI Risk Management Systems
Compliance Tip of the Day: Real-Time Compliance Scoring
Daily Compliance News: March 20, 2025, The Fluid Edition
Third-Party Risk The competitive world of banking struggles to keep up with technological advances, particularly in a regulatory environment.
Regulatory Ramblings: Episode 65 – The Trump Administration’s Decision to Halt FCPA Enforcement – The Implications for Asia and the World with Tom Fox, Malcolm Nance, and Philip Rohlik
Great Women in Compliance: Hearing the Unheard - Leading with Courage When the News Isn’t Good
Daily Compliance News: March 19, 2025, The Why CISOs Quit Edition
Compliance Tip of the Day: Compliance By Design
Compliance into the Weeds: A Deep Dive into Employee Leaks and Corporate Culture
Navigating 2025: The SEC's Evolving Role in Cryptocurrency Enforcement — The Crypto Exchange Podcast
Innovation in Compliance: Nikki Rausch on Harnessing Relationships for Sales and Effective Compliance
Weathering the 2025 Whirlwind: How to Keep Calm & Carry On
Compliance Tip of the Day: Corporate Leaks and Compliance
All Things Investigations: Terrorism Designations of Mexican Cartels Fundamentally Enhances Risk for All Companies
Daily Compliance News: March 18, 2025, The Slack Channel Edition
Compliance Tip of the Day: AI for Whistleblower Anonymity
Lawyers inside and outside the US Securities and Exchange Commission (SEC) have speculated that the agency’s new leadership will take a “lighter touch” when it comes to enforcement. The ultimate approach of the new SEC...more
With global economic alliances shifting and new threats emerging, will the U.S. maintain its dominance in an increasingly complex world? From cryptocurrency to chips to cyberterrorist threats, the battle for global...more
For a decade, SEC rules have permitted general solicitation in private offerings. However, this flexibility has been underutilized as a result of restrictive SEC guidance on verifying accredited investor status. New SEC...more
On March 12, 2025, staff from the Securities and Exchange Commission (SEC staff) issued new guidance regarding Rule 506(c) of Regulation D under the Securities Act of 1933 (Securities Act). We expect that such guidance will...more
The past two weeks have been a whirlwind of activity for the financial and crypto sectors, with developments on Capitol Hill and from key regulatory agencies. President Donald Trump’s nomination of Michelle Bowman as the...more
SEC staff issued no-action guidance on Rule 506(c) of Regulation D private securities offerings on March 12, 2025, which should provide issuers with an easier path to rely on Rule 506(c) and solicit and advertise their...more
On March 19, 2025, the staff of the U.S. Securities and Exchange Commission’s Division of Investment Management (the “Staff”) amended its FAQ page on marketing compliance and reversed its stand on a contentious issue with...more
The FAQs provide investment advisers greater flexibility to present investment performance solely on a gross basis. On March 19, 2025, the Securities and Exchange Commission (SEC or the Commission) Staff released two new...more
In this month’s update, we discuss cases involving related wrongful acts, wildfires, concealment of a weapon, concealment of climate risks, and road rage. We begin in Delaware, where the state’s high court determines whether...more
This eUpdate focuses on the eligibility requirements, process and continuing obligations for a company with a primary listing in a jurisdiction outside the UK which is seeking a secondary listing on the Main Market of the...more
On March 12, 2025, the SEC Division of Corporation Finance published a no-action letter that facilitates compliance with Regulation D Rule 506(c), which permits general solicitation, for offerings with certain minimum...more
March 20, 2025 - The Office of the Comptroller of the Currency announced that it will no longer examine national banks and federal savings associations for “reputation risk” and is purging references to “reputation risk”...more
As noted in this excellent blog by Cooley’s Cydney Posner, Acting SEC Chair Mark Uyeda recently delivered this speech that included criticisms and recommendations for improving the SEC’s rulemaking process. Key points from...more
In a decision that resonates with many critics of mootness fees, a U.S. district judge for the Northern District of Illinois ordered counsel for Akorn Inc. shareholders to return $332,500 in attorneys’ fees extracted from a...more
Lawmakers expressed bipartisan support for significantly amending or eliminating some cybersecurity incident notification requirements during a recent hearing of the U.S. House Committee on Homeland Security's Subcommittee on...more
On March 12, 2025, the staff at the Securities and Exchange Commission (SEC) Division of Corporate Finance issued a no-action letter in response to a request for Rule 506(c) interpretative guidance, agreeing that an issuer...more
The corporate hybrid bond market has recently drawn the attention of corporate bond issuers, investors and rating agencies. In a falling interest rate environment and generally constructive primary and secondary European debt...more
With March Madness upon us, the Securities and Exchange Commission (SEC) is joining the action by implementing a sweeping set of technical updates known as EDGAR Next that will change how all SEC filers access the Electronic...more
RegFi Co-Hosts Jerry Buckley and Sasha Leonhardt welcome Orrick partner Behnam Dayanim to explore the applications of blockchain in financial services, including cryptocurrencies, stablecoins and decentralized finance. The...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
It is always interesting when the regulators catch up to the business world. That is what has happened around corporate culture. The Department of Justice is now assessing corporate culture for any company under...more
Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and...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
A common adage tells us that in the absence of information, people tell themselves a story. In the corporate version, add in frayed business relations, and the plotline quickly thickens with suspicion and distrust. Minority...more
AT A GLANCE - A Resolução CVM 226, em vigor desde 10 de março de 2025, incorpora modernizações trazidas pelo Marco Legal das Garantias, revogando a necessidade de registro da escritura de emissão de debêntures em juntas...more