All Things Investigations: Navigating New DOJ Directives - Declinations, Cooperation, and Whistleblower Programs with Mike DeBernardis and Katherine Taylor
Compliance Tip of the Day: New FCPA Enforcement Memo - What Does it Say?
Risk New York Speaker Series: AI Investments and Political Uncertainty with Chris Mason
Regulatory Ramblings: Episode 71 – Crypto Fault Lines: Stablecoins, Meme Coins & the Fight for Clarity PLUS: Sanctions, Shell Companies & Fragmented Global Trade
Adventures in Compliance: The Novels: Data Analytics from The Sign of Four
Daily Compliance News: June 16, 2025, The Golden Share Edition
FCPA Compliance Report: Recent DOJ Policy Announcements
Episode 373 -- Christian Focacci on Current Developments in AI and Risk Management
Sunday Book Review: June 15, 2025. The Books on Corporate Governance Edition
10 For 10: Top Compliance Stories For the Week Ending June 14, 2025
Fox on Podcasting: Rory Paquette on Elevating Podcasters and the Power of Vulnerability
Everything Compliance: Episode 155, To Tesla and Beyond Edition
#Risk New York Speaker Series: Exploring the Future of GRC with Michael Rasmussen
Compliance Tip of the Day: Code of Conduct as an Internal Control
Daily Compliance News: June 13, 2025. The All Boeing Edition
Compliance Tip of the Day: COSO Framework
#Risk New York Speaker Series: Exploring AI Risks in Compliance with Gwen Hassan
Daily Compliance News: June 12, 2025 the Brutal Truth Edition
#Risk New York Speaker Series: The Future of AI Governance in GRC with Matt Kelly
Compliance Tip of the Day: Board Oversight on Internal Controls
On June 11, the Securities and Exchange Commission (SEC) requested a stay of proceedings in a pending class action lawsuit challenging the SEC’s implementation of the Consolidated Audit Trail (CAT). The SEC’s rationale for...more
Continued volatility in the equity capital markets has revived what was thought to be a zombie after 2022 – the SPAC. There is an old investment banking mantra that they can do an IPO in a down market or an up market, but not...more
Last week, the SEC issued a notice of formal withdrawal for 14 proposed rulemakings that were issued a few years ago – these rules were never adopted. The only Corp Fin rulemaking in this group was this proposal from 2022...more
The EBA has set out its opinion on the interplay between MiCA and PSD2 in relation to crypto-asset service providers (CASPs) that transact with electronic money tokens (i.e. a category of stablecoins under MiCA). The EBA...more
The UK Financial Conduct Authority recently issued the PISCES Sourcebook, finalizing the regulatory regime for this new type of private capital market. On 10 June 2025, the UK Financial Conduct Authority (FCA) published...more
The Financial Conduct Authority (FCA) has released its final rules regarding the Private Intermittent Securities and Capital Exchange System (known as PISCES), the new platform designed to host intermittent secondary trading...more
On June 12, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) imposed a civil penalty of approximately $216 million on GVA Capital Ltd., a venture capital firm based in San Francisco, for...more
FUNDamentals is a periodic digest of news and information specifically for private funds and their managers. In this issue, we highlight some fundraising trends, new marketing rule FAQs, fund liquidity trends (limited...more
On June 12, 2025 the Securities and Exchange Commission (“SEC”) formally withdrew fourteen outstanding rule proposals issued by the prior administration. Although most observers doubted that the current Commission would adopt...more
On June 11, 2025, the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have once again delayed the compliance date for the amendments to Form PF, moving it to October 1, 2025....more
The Canadian Securities Administrators (“CSA”) have published for comment proposed amendments to National Instrument 43-101 Standards of Disclosure for Mineral Projects (“NI 43-101”), Form 43-101F1 Technical Report (“Form...more
French Bank Launches USD Stablecoin, US Fintech Expands Stablecoin Reach - The crypto assets division of a major French multinational bank and financial services company (Bank) recently announced the launch of its U.S....more
A) BACKGROUND On October 8, 2024, the EU Council adopted the Listing Act – a regulation amending, among other things, the Prospectus Regulation (EU) 2017/1129. Even though the Listing Act went into force on 4 December 2024,...more
On June 11, 2025, the Securities and Exchange Commission (“SEC”) voted to extend the compliance date for the amendments to Form PF that were adopted on February 8, 2024. The compliance date for these amendments, which was...more
On June 4, 2025, the SEC issued a concept release soliciting public comment on the definition of “foreign private issuer” (FPI) under U.S. securities laws. The SEC has identified potential changes to the definition that could...more
On May 28, 2025, the Department of Labor (DOL) rescinded its 2022 guidance that cautioned retirement plan fiduciaries to exercise “extreme care” in permitting cryptocurrency and other digital asset investments in retirement...more
The European Commission (EC) has issued a call for evidence to gather input on its initiative to develop a European blueprint for savings and investment accounts as part of its recommendation for the savings and investments...more
At a time when sponsors are holding onto assets longer than expected, margin loans in private markets are providing a valuable channel of liquidity- Drawn out hold periods and low exit volumes have put liquidity at a...more
Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast, All Things Investigation. In this podcast, host Tom Fox is joined by HHR lawyers Mike DeBernardis and Katherine Taylor about...more
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more
Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies,...more
The Staff clarifies that protocol staking does not qualify as a security under the Howey Test, clearing the way for market participants to engage in staking....more
The SEC’s Division of Corporation Finance recently issued a statement on Certain Protocol Staking Activities, essentially articulating the Division’s view that “Protocol Staking Activities,” do not involve the offer and sale...more
Under Canadian securities law, the requirement to register as a dealer is triggered by trading securities for a business purpose. One of the uncertainties under the “business trigger” test and associated guidance is whether...more
Adopted in July 2023, the US Securities and Exchange Commission (SEC)’s cybersecurity disclosure rules require public companies to report material cybersecurity incidents on Form 8-K and to annually report on their...more
