Regulatory Ramblings: Episode 84 - From Asset Recovery to AI Revolution: Risk, Coordination, and the Future with Sangeet Paul Choudary and Dr. Amber Phillips
Compliance Tip of the Day - What are AI Powered Internal Controls?
AI Today in 5: December 11, 2025, The FINRA and AI Edition
Daily Compliance News: December 11, 2025, The Jack Smith Opens New Law Firm Edition
Compliance into the Weeds: Live from the Floor of ACI
Great Women in Compliance - Global Corruption Prevention: A View from France
Compliance Tip of the Day – Improvement of Internal Controls
Daily Compliance News: December 10, 2025, The US Credibility Under Strain Edition
Compliance Tip of the Day - Monitoring of Internal Controls
AI Today in 5: December 9, 2025, The One AI Rule Edition
Daily Compliance News: December 9, 2025, The Lawyers, Guns and Money Edition
Sunday Book Review: December 7, 2025, The Best Books on History Edition
Compliance Tip of the Day - What Can Lead to an Internal Control Over-ride
AI Today in 5: December 8, 2025, The AI in Battling Edition
FCPA Compliance Report - Nicole Di Schino on Harnessing AI for Compliance: Governance, Risks, and Best Practices
Daily Compliance News: December 8, 2025, The Surviving Holiday Parties Edition
10 For 10: Top Compliance Stories For the Week Ending December 6, 2025
Compliance Tip of the Day: M&A-Pre-Acquisition: Final Lessons
From the Editor’s Desk: Compliance Week’s Insights and Reflections for November and into December 2025
Compliance and AI: Navigating the Challenges and Opportunities of Agentic AI in Compliance
We’re pleased to share the December edition of our Financial Regulatory Roundup Newsletter, highlighting key developments shaping the financial regulatory landscape....more
An “83(b) election” is a tax saving tool that can help workers save money when they receive restricted stock or other equity from a company. The IRS recently made it easier to file these elections, including providing an...more
On 26 November, the UK Chancellor of the Exchequer delivered the much-anticipated UK Autumn Budget....more
The Italian Supreme Court recently published Order no. 26079/2025, ruling on a unit-linked policy concluded 2011. The Supreme Judge indicated which regulations should apply to unit-linked policies executed at that time, in...more
Tax rates (including withholding tax rates) and thresholds – as part of an anticipated series of tax rises for individuals, and with a view to shifting some of the burden of taxation from employment to passive income, the...more
The main headline for investment managers is that the carried interest reforms have been confirmed, with the Finance Bill 2025-26 set to be published next week. While some changes have been made to the draft legislation...more
As 2025 winds down, legislators and regulators continue their efforts to establish a comprehensive framework for cryptocurrencies and other digital assets. In this December 2025 Roundup, we break down the latest developments...more
In recent weeks, Congresswoman Elise Stefanik, R-N.Y., announced her campaign for governor of New York and Congressman Eric Swalwell, D-Calif., announced for governor of California, joining several federal officials already...more
Asset managers generally have fiduciary duties to their clients, including the duty of care and the duty of loyalty. These duties require, among other things, appropriate diligence in selecting, engaging and overseeing AI...more
On November 17, 2025, the US Securities and Exchange Commission (SEC) Division of Corporation Finance announced that it will not respond to no-action requests by companies to exclude shareholder proposals for the 2026 proxy...more
2025 has been a reasonably active year for the public M&A market in the UK. It started strongly, with the first half experiencing the highest deal volumes in any six-month period for several years, although the volume of...more
The new regime is designed to address key issues with the PRIIPs KID....more
In early December 2025, federally regulated derivatives exchange KalshiEX LLC filed suit in the U.S. District Court for the District of Connecticut challenging a cease-and-desist order issued by the Connecticut Department of...more
The spotlight chat commences with Amber sharing with Regulatory Ramblings host Ajay Shamdasani why accredited financial investigators and asset recovery experts are so important for detecting malfeasance and why many in law...more
Solak v. Daniels, C.A. No. 2024-0857-MTZ (Del. Ch. July 11, 2025) - The Court of Chancery converted the parties’ cross motions for judgment on the pleadings into motions for summary judgment to consider whether the...more
Khalid v. Musk, C.A. No. 2024-0443-KSJM (Del. Ch. July 18, 2025) - The plaintiff acquired Twitter stock following Elon Musk’s announcement that he agreed to acquire the company. The plaintiff then sold the stock at a loss...more
The past year has been an interesting and action-packed year in the world of Directors & Officers (D&O) liability and coverage. We begin by examining some of the key trends and developments impacting directors, officers, and...more
Buried inside the annual defense spending bill that’s working its way through Congress right now is the “Holding Foreign Insiders Accountable Act.” As noted on page 2718 of this House bill (see below for the actual...more
On December 4, Glass Lewis updated its benchmark proxy voting guidelines. The updates applicable to U.S. companies are briefly summarized below....more
It’s the most wonderful time of the year. Whether you celebrate with tinsel or simply a well-earned break, we think everyone deserves a gift – the greatest gift of all, M&A insights! To turn the phrase made famous by...more
In November 2025, there were three Rule 2.7 announcements made across the UK public M&A market and eight further possible offers announced. Firm Offers announced this month: • Recommended cash offer by Permira Advisers...more
On December 2, 2025, Brian Daly, Director of the Securities and Exchange Commission (the “SEC”) Division of Investment Management (the “Division”), delivered remarks to the American Bar Association outlining the Division’s...more
On December 3, 2025, the Securities and Exchange Commission (the “SEC”) issued an exemptive order to postpone the compliance deadline for Rule 13f-2 under the Securities Exchange Act of 1934 by two years. The new deadline...more
On 8 December 2025, the United Kingdom’s Financial Conduct Authority (“FCA”) published a consultation paper (CP25/36) on amending its rules on client categorisation and conflicts of interest (the “Consultation Paper”)....more
No need to bring a crib sheet, the US Securities and Exchange Commission (SEC) Division of Examinations just revealed (some of) this year’s test....more
