A Conversation with SEC Commissioner Hester Peirce
All Things Investigations – Anna Hamati on Key Lessons from the TD Bank AML Enforcement Action
Compliance Tip of the Day: CCOs Reporting to the Board
Navigating the Dark Side of Crypto: Crime, Compliance, and Consumer Protection – The Crypto Exchange Podcast
Everything Compliance, Shout Outs and Rants – Episode 145, 8 Years Later
Innovation in Compliance – Exploring Client-Side Security and PCI DSS Compliance with Rui Ribeiro
Daily Compliance News: November 12, 2024 – The Science of Corruption Edition
AI Washing: Simple Guidance to Avoid Risk
Compliance Tip of the Day: Lessons Learned From Telefónica Venezolana
Daily Compliance News: November 11, 2024 – The Veteran’s Day Edition
Adventures in Compliance – Leadership Lessons from Sherlock Holmes in The Illustrious Client
Episode 344 -- SEC Settles FCPA Case with Moog for $1.7 Million
Sunday Book Review: November 10, 2024 – The Books on Middle Manager Edition
Because That’s What Heroes Do: Deep Space 9: Episode 17 – Sacrifice of Angels: Forging New Alliances with Bonds that Defy Time and Space
10 For 10: Top Compliance Stories For the Week Ending November 9, 2024
Ep. 3 - The Art of Parallel Investigations (Part 2)
12 O’Clock High, a podcast on business leadership – Leadership Lessons from A Man for All Seasons
Compliance Tip of the Day – Why Data-Driven Culture is the Future of Compliance
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Compliance and AI: John Sun on Enhancing Compliance Processes with AI Technology
On September 27, 2024, the Securities and Exchange Commission (the “Commission”) adopted a final rule designed to modernize access to and use of accounts on the Commission’s Electronic Data Gathering, Analysis, and Retrieval...more
On November 1, 2024, the Ministry of Commerce of China, together with five other governmental departments, issued the newly revised Measures for the Administration of Strategic Investment in Listed Companies by Foreign...more
As the incoming Trump administration prepares to take office, businesses and investors can expect significant shifts in the enforcement priorities of the Securities and Exchange Commission (SEC) and the Commodity Futures...more
The U.K. Financial Conduct Authority and Prudential Regulation Authority have finalized their policy on the prudential assessment of acquisitions and increases of control. The regulators have published a joint policy...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
The UK financial services regulators, the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA), have recently set out their final policy on the assessment of acquisitions and increases in control of PRA...more
Who may be interested: Registered Investment Companies; Registered Investment Advisers; Broker Dealers; Compliance Officers; Boards of Directors - Quick Take: The SEC recently settled five separate enforcement proceedings...more
On October 30, 2024, Judge Terry A. Doughty of the United States District Court for the Western District of Louisiana adopted the September 30, 2024 Report and Recommendation of Magistrate Judge Kayla Dye McClusky and granted...more
93% of respondents are at least somewhat likely to consider take-private deals in the next 12 months, but compared to last year those who responded “very likely” dropped significantly from 80% to 44% – perhaps due to the...more
In 2024 we have seen a significant increase in listed corporate bidders offering their equity to target company shareholders in UK public M&A deals, including on offers made by non-UK listed companies. In the year to date,...more
But not to the SEC. Reuters is reporting that former SEC Chair Jay Clayton “is in talks for several potential roles” in the new Administration, according to “several sources familiar with the matter.” Clayton, a political...more
The Securities and Exchange Commission’s Division of Examinations recently released its 2025 priorities. These identify several new or emerging areas of focus that could be precursors to enforcement actions, such as the use...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Joseph Sullivan, Uber’s beleaguered former Chief Information Security Officer, was back in the news last month when he appealed his 2023 conviction for his role in concealing a 2016 breach of Uber’s network and customer data....more
The Takeover Code (the “Code”) has published its response to its consultation on the application of the Code and is adopting the amendments previously proposed in PCP 2024/1 subject to some modifications. The changes will...more
The Ontario Capital Markets Tribunal (Tribunal) recently dismissed enforcement proceedings brought against several respondents by the Ontario Securities Commission (Commission) in Cormark Securities Inc (Re). The Commission...more
California's securities qualification requirements and exemptions depend upon whether the offer and sale of securities is an issuer transaction, a change in rights, exchange, merger, or conversion transaction, or a nonissuer...more
On November 4, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published an analysis of the most common deficiencies identified across its three core registered investment company (RIC)...more
In this episode of the CryptoCounsel, hosts Josh and Frank sit down with SEC Commissioner Hester Peirce to unpack the complexities of cryptocurrency regulation. Together they discuss the recent challenges of SEC regulatory...more
Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast, All Things Investigation. In this episode, Anna Hamati, a Hughes Hubbard & Reed LLP lawyer, joins host Tom Fox to discuss 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
In the latest episode of The Crypto Exchange, host Ethan Ostroff is joined by colleagues Brett Broczkowski and Mike Lowe to discuss the intersection of crime and cryptocurrency, with a focus on the challenges financial...more
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we discuss a potpourri of topics. Tom Fox is hosting the quartet of Matt Kelly, Karen Woody, Jonathan Marks,...more
Innovation comes in many areas, and compliance professionals must be ready for and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning...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