31 Days to a More Effective Compliance Program: Day 19 - Evaluating the Risk Management Process
FCPA Compliance Report: Navigating Corporate Ethics and Compliance Trends in 2026 with Mike Volkov, Part 2
31 Days to a More Effective Compliance Program: Day 18 - Risk Assessments
Sunday Book Review: January 18, 2026, The Top Books on Innovation ’26 Edition
31 Days to a More Effective Compliance Program: Day 17 - Podcasting for Compliance
31 Days to a More Effective Compliance Program: Day 16 - Effective and Tailored Compliance Training
2 Gurus Talk Compliance: Episode 68 - The Corruption is Free Speech Edition
AI Today in 5: January 16, 2026, The More Chatbots in Recruiting Edition
Compliance and AI: Transforming Cloud Investments: The Role of AI Governance
Daily Compliance News: January 16, 2026, The Another Basketball Point-Shaving Scandal Edition
31 Days to Effective Compliance Program: Day 15 - Monitoring and Improving Internal Controls
AI Today in 5: January 15, 2026, The AI for IA Edition
FCPA Compliance Report: The Role of AI and Data Analytics in Compliance: Preview of The Leading Edge with Roxanne Bras Petraeus and Andrew McBride
Daily Compliance News: January 15, 2026, The Do You Need a Second CCO Edition
31 Days to a More Effective Compliance Program: Day 14 - Internal Controls
Great Women in Compliance: When Women Speak Up: Gender, Whistleblowing and Retaliation
AI Today in 5: January 14, 2026, The Apple Folds Edition
Compliance into the Weeds: The Department of Retribution
Daily Compliance News: January 14, 2026, The Ghost of Odebrecht Edition
31 Days to a More Effective Compliance Program: Day 13 - Policies and Procedures
Recently, the U.S. Senate confirmed new chairs for the FDIC and CFTC as part of a group of government nominations approved by Senate resolution. On January 13, Acting Chairman Travis Hill was sworn in as the 23rd chairman of...more
On 15 December 2025, the UK government laid before Parliament the draft Financial Services and Markets Act 2000 (Cryptoassets) Regulations 2025. This landmark legislation, together with the FCA's messaging, signals a major...more
On 14 January 2026, the Hogan Lovells Digital Assets and Blockchain practice hosted a half‑day roundtable event for clients to discuss the FCA's trio of consultation papers: Consultation Paper 25/40 on Regulating Cryptoasset...more
“Early exercising” refers to exercising a stock option before it has fully vested, so you own the shares sooner (although they remain subject to the same vesting conditions as the stock option). For non-qualified stock...more
On January 9, 2026, the Supreme Court granted certiorari in three cases to resolve disputes regarding the scope of administrative enforcement powers by the Securities and Exchange Commission and the Federal Communications...more
With much anticipation, the reforms to the prospectus requirements for public offers of bonds in the UK came into force on 19 January 2026 when the UK Prospectus Regulation was revoked and replaced by the new regulatory...more
Europe’s non-performing loan (NPL) market is evolving, as shifts in global trade policy and sector-specific headwinds change the dynamics that have driven NPL deals over the past 10 years. The most recent Risk Assessment...more
The Supreme Court will soon once again weigh in on the US Securities and Exchange Commission’s (SEC) enforcement powers, this time addressing whether disgorgement is available without showing that victims suffered pecuniary...more
On 19 January 2026, the new UK prospectus rules (Prospectus Rules: Admissions to Trading on a Regulated Market, known as the “PRM Sourcebook”) took effect and, together with the Public Offers and Admissions to Trading...more
Global equity plans are complex, and their administration requires collaboration across multiple departments, including legal, human resources, payroll, and tax....more
AIFMD 2 introduces a new loan-origination regime, with general rules applicable to all AIFs that originate loans, and more stringent requirements applicable to AIFs that qualify as loan-originating AIFs....more
A series of recent actions from the White House, Congress, and the Pentagon have sent an unusually strong signal to major defense contractors and market entrants that seek to compete in the defense ecosystem....more
It has been the case for many years that promotional materials in the EU must be “fair, clear, and not mis-leading”. However, how should managers interpret this high-level requirement when describing their approach to ESG...more
On January 8, the U.S. District Court for the District of Columbia granted the SEC’s motion to dismiss a constitutional challenge to its follow-on administrative proceeding brought by two California-based investment advisers....more
On November 24, 2025, the Delaware Supreme Court affirmed dismissal of a books and records action, holding that stockholders failed to comply with the procedural “form and manner” requirements of Section 220 of the Delaware...more
The Saudi Capital Market Authority (CMA) has announced a landmark reform allowing all categories of foreign investors to directly invest in Saudi-listed companies starting 1 February 2026. This removes long-standing...more
On January 7, the Governor of Wyoming and chair of the state’s Stable Token Commission, Mike Gordon, announced the public launch of the Frontier Stable Token (FRNT), making it the first “fiat-backed, fully-reserved”...more
On January 8, 2026, the New York Stock Exchange (“NYSE” or “Exchange”) submitted a proposed rule change to the Securities and Exchange Commission that would revise the initial listing requirements detailed in Sections 101 and...more
On January 13, 2026, the United States Securities and Exchange Commission (SEC) announced plans to conduct a comprehensive review of Regulation S-K, the central framework governing non-financial statement disclosure...more
The UK Financial Conduct Authority (FCA) has recently censured BlueCrest Capital Management (UK) LLP (BlueCrest) and secured a voluntary USD101m redress scheme for investors in a fund it managed. The action highlights the...more
On December 15, 2025, the U.S. Department of the Treasury (“Treasury”) and the Internal Revenue Service (the “IRS”) published final regulations (the “Final Regulations”) and proposed regulations (the “Proposed Regulations”)...more
Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough...more
Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this inaugural episode of 2026, Tom Fox welcomes back his good friend and colleague, Mike Volkov, to reflect on the tumultuous...more
In the Sunday Book Review, Tom Fox considers books that would interest compliance professionals, business executives, or anyone curious. It could be books about business, compliance, history, leadership, current events, or...more