Deep Space 9: Episode 15 – Trials and Tribble – ations: Homage, Innovation, and Time Travel Intrigue
10 For 10: Top Compliance Stories For The Week Ending October 26, 2024
12 O’Clock High, a podcast on business leadership – Finding Your Voice – How Caroline Biesalski Transformed Your Life and Profession
Regulatory Ramblings: Episode 56 - The Intersection of Financial Crime and Cryptocurrencies with Chengyi Ong
Daily Compliance News: October 25, 2024 – The 80 Hour Work Week Edition
No Password Required: Founder of Cybersafe Foundation and an Obama Foundation Africa Leaders Fellow, Who Is Comfortable in the API Kitchen
Business Integrity Innovations: Promoting Transparency: Bridging the Trust Deficit in Business – Odeh Friday
Daily Compliance News: October 24, 2024 – The Quid Pro Quo Edition
Compliance Tip of the Day: TD Bank Lessons Learned – New and Emerging Risks Demand Action
Great Women in Compliance: Stephanie Weldy on The Art of Behavior Design
Compliance into the Weeds: Unveiling RTX’s Costly Compliance Failures and Corporate Misconduct
Daily Compliance News: October 23, 2024 – The Fired for Multitasking Edition
All Things Investigations – Mike Huneke’s Top 5 Takeaways from The 2024 ECCP
Compliance Tip of the Day: TD Bank Lessons Learned: Putting Profits Over Compliance Will Always End Poorly
Innovation in Compliance: Monica Goyal on Tech-Driven Solutions for Law Firms
Daily Compliance News: October 22, 2024 – The Sketchy as Hell Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Laws Affect Securities Offerings?
Adventures in Compliance: Compliance Lessons from The Adventure of The Blanched Soldier
Compliance Tip of the Day: TD Bank Lessons Learned – What Does AML/BSA Enforcement Have to Do With ABC?
Get ready for an exciting new season of Because That’s What Heroes Do. In this season, they take a deep dive into their favorite 15 episodes of Deep Space 9. In this exploration, Tom and Megan are joined by Star Trek maven,...more
Welcome to 10 For 10, the podcast which brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance brings to you, the compliance professional, the compliance stories you need to...more
This week, the Securities and Exchange Commission (SEC) charged four public companies for alleged deceptive cyber disclosures: Unisys Corp., Avaya Holdings Corp., Check Point Software Technologies Ltd., and Mimecast Limited....more
The SEC Division of Examinations (EXAMS) recently published its list of priorities for 2025, providing a roadmap for broker-dealers and other registrants to better understand where examination teams will focus their efforts...more
In a previous alert, Crypto-Asset Services and Grandfathering Under MiCA: Clarity From ESMA, we noted that the provisions of the Markets in Crypto Assets Regulation (MiCA) governing crypto-asset service providers (CASPs) is...more
According to a recently released preview of the RSM Middle Market Sustainability Survey 2024: US and Canada, 75% of middle-market companies report their organization has already taken steps to prepare for compliance with at...more
The European Commission, the European Central Bank and the European Securities and Markets Authority have published a joint statement on the next steps to support the preparations towards a transition to T+1. Under the EU...more
Our Investment Funds and White Collar, Government & Internal Investigations Groups examine a recent Securities and Exchange Commission enforcement order involving control of inside information....more
On October 22, 2024, the Securities and Exchange Commission charged four companies with making materially misleading disclosures about their cybersecurity risks. Each of the companies—Unisys Corp., Avaya Holdings Corp., Check...more
Our Securities Group explores what companies need to know about the Securities and Exchange Commission’s approval of Nasdaq’s rule change on reverse splits and the minimum bid price compliance period....more
On Tuesday, the SEC announced settled charges against four companies for “making materially misleading disclosures regarding cybersecurity risks and intrusions. The charges against the companies, Unisys Corp., Avaya Holdings...more
One of the concerns following the Supreme Court’s ruling in SEC v. Jarkesy was that other agencies may face similar collateral attacks to its administrative proceedings. While the full impact of Jarkesy remains an open...more
Over the past year, the U.S. Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership reporting under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934 (“Exchange...more
Each month, we publish a roundup of the most important SEC enforcement developments for busy in house lawyers and compliance professionals. This month included the SEC’s fiscal year end and a large number of enforcement...more
Climate change disclosures have recently become mandatory in Japan, following amendments to the Financial Instruments Exchange Act (FIEA) and the Cabinet Office Order on Disclosure on Corporate Affairs. These require...more
In a speech published on the Central Bank website¹ on 24 October 2024, Deputy Governor Derville Rowland confirmed that the Central Bank is in the process of converging its regulatory approach with other European regulators...more
Who may be interested: Investment Advisers, Compliance Staff - Quick Take: The SEC recently settled charges against 34 entities and individuals, including 11 institutional investment managers, for failing to timely report...more
In this engaging episode, Tom Fox interviews Caroline Biesalski, an accountant turned podcast host and coach, who shares her inspiring journey from the accounting world to podcasting. Biesalski discusses her chapter in...more
Chengyi Ong leads public policy in the Asia-Pacific region for Chainalysis from the firm’s regional headquarters in Singapore. Drawing on Chainalysis’s blockchain data analytics platform, she works with public and private...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
While it is pretty likely that anyone reading this is already familiar with the Wells process, I am going to start with a short history lesson. Way back in 1972, the SEC created an Advisory Committee to take an objective look...more
Becoming a first-time director of a public company is a goal not easily achieved and can represent a significant personal and professional accomplishment, giving an individual a platform to share their expertise to help a...more
On September 4, 2024, U.S. Securities and Exchange Commission ("SEC") Chair Gary Gensler reiterated concerns about artificial intelligence-related ("AI") disclosures and the need for companies to communicate accurately about...more
On 28 August 2024, the Financial Crimes Enforcement Network (FinCEN) issued its Final Rulemaking to include certain investment advisers in the definition of a “financial institution” under the Bank Secrecy Act (BSA). The...more
