PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Makes it a Securities Offering?
Shout Outs and Rants – Episode 141
All Things Investigations: Anchored in Fraud: Mike DeBernardis and Shayda Vance on Austal USA’s Scandal
Daily Compliance News: September 24, 2024 – The Revised ECCP Released Edition
The Ethics Experts: Episode 183 – Julie Winkle Giulioni
The Legal Tightrope: Surviving Parallel Investigations
Corruption Crime and Compliance: Nicolas Garcia, GC at Orica, on Compliance Trends and Challenges in Latin America
FCPA Compliance Report: Jon May Critiques The DOJ Whistleblower Financial Incentive Program
Compliance Tip of the Day: Everything Old is New Again: The John Deere FCPA Enforcement Action
Daily Compliance News: September 23, 2024 – The That Old Time Religion Edition
Episode 337 -- Nicolas Garcia, GC at Orica, on Compliance Trends and Challenges in Latin America
Sunday Book Review: September 21, 2024, Books on Venice Edition
Megatrax Trailblazers Podcast: Episode 41 - Tom Fox (Voice of Compliance Podcast Network)
Creativity and Compliance: Transforming Toxic Cultures
Navigating Government Contracts: Diana Shaw on Oversight and Whistleblower Protections
Compliance Tip of the Day: How A CEO Can Set The Tone at The Top with Town Halls
Fox on Podcasting: Enhancing Your Podcast with Megatrax: Ileana Landon’s Expert Insights
2 Gurus Talk Compliance: Episode 37 – The Florida Couple Edition
Daily Compliance News: September 20, 2024 – The 2nd Trial Edition
On September 9, 2024, the Securities and Exchange Commission (SEC) announced settlements with seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede...more
Earlier this month, the SEC brought accounting fraud charges in the U.S. District Court for the Southern District of New York against the CEO, CFO, and Audit Committee Chair of Kubient, a company that purported to use AI...more
The Corporate Transparency Act (CTA) went into effect on January 1, 2024, and will impact millions of U.S. businesses by imposing requirements to file corporate transparency reports with beneficial ownership information...more
The U.S. Department of Labor’s (the “DOL”) amendment to the qualified professional asset manager (“QPAM”) prohibited transaction class exemption 84-14 (the “Exemption”) went into effect on June 17, 2024. Current QPAMs must...more
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •The SEC’s case against crypto firm Kraken is permitted to...more
On September 19th, 2024, the CSSF published its 2023 annual report, highlighting key regulatory challenges, particularly in the realm of crypto-assets following the implementation of the Markets in Crypto-Assets Regulation...more
The following new SEC insider trading disclosures will be required in companies’ upcoming Forms 10-K (FY 2024) and/or proxy statements...more
Pig Butchering Crypto Scams are scams which resemble the practice of fattening a hog before slaughter....more
The Cayman Islands (“Cayman”) is recognised as a leading international financial centre and well regarded as a creditor-friendly jurisdiction (with the absence of debtor-friendly insolvency such as Chapter XI in the United...more
Welcome to award-winning The Hill Country Podcast. The Texas Hill Country is one of the most beautiful places on earth. In this podcast, Hill Country resident Tom Fox visits with the people and organizations that make this...more
The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting...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
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
O Superior Tribunal de Justiça (STJ) decidiu que as opções de compra de ações concedidas a administradores e empregados tem caráter mercantil e não remuneratório. Com isso, o Imposto de Renda da Pessoa Física (IRPF) não pode...more
On September 19, 2024, the Ontario Securities Commission (“OSC”) published proposed OSC Rule 44-503 Exemption from Certain Prospectus Requirements for Well-known Seasoned Issuers (the “Rule”). Subject to ministerial approval,...more
Key Takeaways - The method of acquisition of voting securities does not matter for HSR purposes. The civil penalties for individuals or companies that miss HSR filing obligations can be significant....more
Post Brexit, the U.K. Government and Financial Conduct Authority are committed to the ongoing reform programme to reinvigorate the U.K.'s capital markets. As part of this, the Government and FCA are committed to replacing...more
On Wednesday, September 18, the Federal Trade Commission (FTC) announced a settlement agreement with prominent activist investor and GameStop CEO Ryan Cohen. Under the agreement, Cohen will pay a $985,320 civil penalty for...more
On September 6, 2024, Judge Robert Pitman of the United States District Court for the Western District of Texas dismissed a putative securities class action against a family of corporations (“Corporate Defendants”) that,...more
The U.S. antitrust agencies are routinely on alert for violations of the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (“HSR Act”), even in instances where there are no competitive or otherwise apparent antitrust...more
The Commodity Futures Trading Commission (CFTC) on Sept. 20, 2024, finalized guidance (the Final Guidance) regarding the listing of voluntary carbon credit (VCC) derivatives on CFTC‑regulated exchanges. The CFTC previously...more
Dually registered, or “dual hat,” investment advisers are already well aware of the extensive obligations imposed by the Bank Secrecy Act (“BSA”). But for others, the finalization of a Financial Crimes Enforcement Network...more
On September 13, 2024, Judge K. Michael Moore of the United States District Court for the Southern District of Florida dismissed a complaint alleging that an equity fund (the “Company”), its affiliate companies, and several...more
The Israel Securities Authority recently published a draft of a new directive for payment companies and holders of basic initiation licenses or approvals regarding reporting to the Authority. According to the Draft, payment...more
I have watched enough medical shows over the years, from the awesome St. Elsewhere to the never-ending Grey’s Anatomy, to have heard umpteen times that the Hippocratic Oath includes the admonition that doctors “do no harm.” ...more
