31 Days to a More Effective Compliance Program: Day 18 – Risk Assessments
10 For 10: Top Compliance Stories For the Week Ending – January 18, 2025
31 Days to a More Effective Compliance Program: Day 17- Podcasting for Compliance
Daily Compliance News: January 17, 2025 – The BitMEX Spanked Yet Again Edition
Everything Compliance: Episode 147, The Welcome to 2025 Edition
31 Days to a More Effective Compliance Program: Day 16 - Effective and Tailored Compliance Training
Daily Compliance News: January 16, 2025 – The SEC Sues Musk (Again) Edition
31 Days to a More Effective Compliance Program: Day 15 – Monitoring and Improving Internal Controls
Great Women in Compliance: Catherine Razzano on Leading with Passion
Compliance into the Weeds: Navigating Return to Office Policies and Corporate Speak Up Culture
Daily Compliance News: January 15, 2025 – The Corruption is Back Edition
Scoping Out Secondaries with Portfolio Advisors' Liz Campbell
31 Days to a More Effective Compliance Program: Day 14 – Internal Controls
Innovation in Compliance: Todd Haugh on Ethical Decision Making in the Workplace - Beyond Financial Incentives
Daily Compliance News: January 14, 2025 The RTO Compliance Edition
Adventures in Compliance: The Case-Book of Sherlock Holmes – Business Ethics Lessons in ‘The Adventure of the Blanched Soldier
31 Days to a More Effective Compliance Program: Day 13 – Policies and Procedures
Daily Compliance News: January 13, 2025 The End of Western Civilization Edition
10 For 10: Top Compliance Stories For the Week Ending January 11, 2025
Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom Fox will post a key part of a best practices...more
Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance professional and the compliance stories you need to...more
Delaware’s rigorous fairness standards for transactions involving controlling shareholders have recently come to the forefront of the Chancery Court’s docket. The Transaction...more
Every deal has its quirks but, as anyone who has done a deal with a Lux entity will know, the EU brings its own set of regulatory considerations to the table (primarily AIFMD). In many cases when compared with parallel...more
The capital markets reacted enthusiastically to the end of election uncertainty, and expectations of lower taxes, less regulation and more business-friendly policies....more
On 8 January 2025, the staff of the Division of Investment Management of the US Securities and Exchange Commission (the SEC) released an updated set of Frequently Asked Questions (the FAQs) related to the amendments to Rule...more
After a two-and-a-half-year lull in SPAC activity, the second half of 2024 brought glimmers of sunshine to the otherwise gloomy world of SPACs. New SPAC IPO activity picked up pace in the summer of 2024 and continued to grow,...more
Digital Operational Resilience Act (DORA) aims to harmonize provisions related to cybersecurity and information and communication technology (ICT) risk management in the financial sector. Its scope covers nearly all entities...more
On 13 December 2024, the Commission de Surveillance du Secteur Financier (CSSF) published the first FAQ to assist professionals in the investment sector supervised, authorised, or registered by the CSSF in complying with...more
The SEC has approved FINRA's 6500 rule series, which governs the Securities Lending and Transparency Engine (SLATE). The rules require some financial institutions to report securities loans to FINRA. They also require the...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 in to the Daily Compliance...more
January 16, 2025- The U.S. Committee on Banking, Housing and Urban Affairs held a hearing on the nomination of Mr. Eric Scott Turner, to be Secretary, U.S. Department of Housing and Urban Development....more
The updates include market consultation, consultation conclusions and various guiding materials by the HKEX, and bills for amendments to the Companies Ordinance by the Hong Kong government....more
The Stock Exchange concluded to adopt the proposed amendments to the CG Code, with certain modifications based on market feedback....more
January 15, 2025 - Chairman Tim Scott (R-S.C.) released the U.S. Senate Committee on Banking, Housing, and Urban Affairs legislative and oversight priorities for the 119th Congress....more
On January 20, 2025, President-elect Donald Trump will assume office, ushering in significant changes across U.S. federal agencies, including the Securities and Exchange Commission (“SEC”). With the exit of SEC Chairman Gary...more
Absent SEC or court action, institutional investment managers that meet or exceed certain thresholds face a February 14 deadline to file the first reports with the SEC on Form SHO. Form SHO, which was adopted with Rule 13f-2...more
Federal banking agencies under a second Trump Administration are expected to be more receptive to industry proposals for bank mergers, acquisitions, and related transactions. We've previously explored national trust banks and...more
On Tuesday, the SEC filed a complaint in the D.C. federal district court alleging that Elon Musk ignored the Section 13(d) beneficial ownership reporting deadline when, in March 2022, he acquired more than 5% of outstanding...more
New Jersey AG Matthew Platkin has settled with Edward D. Jones & Co., L.P., as part of a multistate investigation that included 14 states and the North American Securities Administrators Association, over allegations that the...more
On Monday, the U.S. Court of Appeals for the Third Circuit issued the attached opinion requiring the SEC to provide a more complete explanation for its refusal to engage in formal notice-and-comment rulemaking regarding the...more
The Financial Conduct Authority (FCA) has released its first publication (DP24/4) on its future rules for U.K. cryptoasset market participants. This discussion paper seeks input on the FCA’s proposed rules for admissions and...more
Last June, the Supreme Court issued its decision in Securities and Exchange Commission v. Jarkesy, which holds that the Seventh Amendment entitles a defendant to a jury trial when the Securities and Exchange Commission (SEC)...more
