Compliance Tip of the Day – Preparing for an Investigation
AI Today in 5: December 16, 2025, The Things to Never Tell a Chatbot Edition
Innovation in Compliance: Exploring Fractional and Adjunct Risk Professionals with Gerry Zack
Daily Compliance News: December 16, 2025, The Don’t Feed the Pig Edition
FCPA Compliance Report - Kristy Grant-Hart on the Evolution of Compliance in 2026: Navigating New Risks and Regulation
Compliance Tip of the Day – Your Investigative Protocol
AI Today in 5: December 15, 2025, The Good, Bad & Ugly Edition
Daily Compliance News: December 15, 2025, The End of the FCA? Edition
Sunday Book Review: December 14, 2025, The Best Books on Business Edition
10 For 10: Top Compliance Stories For the Week Ending December 13, 2025
2 Gurus Talk Compliance: Episode 65 – The This Is Nuts Edition
Compliance Tip of the Day – Ethical Deployment of AI Powered Controls
AI Today in 5: December 12, 2025, The Person of the Year Edition
Daily Compliance News: December 12, 2025, The All New York Times Edition
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
The Ontario Securities Commission (“OSC”) released its proposed Statement of Priorities for 2026-2027, outlining the initiatives on which the OSC intends to focus its resources and activities over the next fiscal year....more
The European Commission has released a legislative proposal for the overhaul of the current Sustainable Finance Disclosure Regulation regime (SFDR 1.0), the EU’s disclosure framework for funds and other financial products...more
The FCA has published a discussion paper in which it considers possible changes to its rules regarding consumer access to investments and invites feedback from consumers and the industry to help it formulate future policy. ...more
On 11 December 2025, the UK's Financial Conduct Authority (FCA) published PS25/22, which contains its near final rules on the new concept of “targeted support” which firms can use to help consumers make their investment...more
Key developments of interest over the last month include: China and Vietnam launching a cross-border QR code payment system to strengthen regional payment connectivity; Banks and EMIs facing detailed new information and...more
Last week, federal regulators took several notable steps affecting digital asset markets. The Office of the Comptroller of the Currency (OCC) announced conditional approval of five national trust bank charter applications. It...more
Companies have important decisions to make as they prepare for the 2026 annual meeting and reporting season. We have compiled this overview of key issues — including SEC disclosure requirements, recent SEC guidance, executive...more
With the end of the fiscal year approaching, we continue to see an uptick in the number of clients seeking counsel on structuring equity incentive plans. As our clients take a look back at the prior year’s performance and a...more
On December 11, 2025, the White House issued an executive order intending to limit the perceived influence of two proxy advisory firms — Institutional Shareholder Services Inc. (ISS) and Glass Lewis & Co., LLC (Glass Lewis) —...more
Late-stage private companies sometimes ask us about the “500 stockholder rule” (or the “2,000 stockholder rule”) and whether they should be concerned about it. Companies subject to US securities laws may have special...more
Foreign investment in the U.S. market, particularly in high-growth technology companies, often begins with the formation of a Delaware corporation. This is a common choice for U.S. startups seeking capital, primarily due to...more
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice for navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
On November 21, 2025, the Department of the Treasury (“Treasury”) and the Internal Revenue Service (“IRS”) issued final regulations (the “Final Regulations”) under Section 4501, which imposes a 1% excise tax on certain...more
Stablecoins have come a long way from being a tool mostly used by crypto traders looking to avoid volatility. Today, they are sitting at the center of digital finance, attracting serious attention from policymakers, banks,...more
Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In...more
Innovation comes in many areas, and compliance professionals need not only to be ready for it but also to embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in...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 News....more
The FCA has published a policy statement setting out its final rules for providing information on Consumer Composite Investments (CCIs). The new regime for CCIs is the replacement for the Packaged Retail and Insurance-based...more
Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes Kristy Grant-Hart, Head of Advisory Services at Diligent’s Spark Compliance Group, to discuss where...more
On 8 December 2025, the FCA published a consultation paper (CP) on client categorisation and conflicts of interest. This consultation will be of particular interest to wealth managers and investment firms, as it may enable...more
On December 11, 2025, President Donald J. Trump signed an executive order titled “Protecting American Investors from Foreign-Owned and Politically-Motivated Proxy Advisors.”...more
On November 19, 2025, Singapore Exchange ("SGX") and Nasdaq announced a proposed "Global Listing Board" framework enabling companies to file a single prospectus acceptable to both Singapore and U.S. regulators....more
Recently, I blogged about how Glass Lewis released its Benchmark Policy changes for 2026, which are included in this 90-page document. Here’s a Cooley Alert penned by Cooley’s Brad Goldberg, Beth Sasfai, Ali Murata, Michael...more