AI Today in 5: February 16, 2026, The Doom Loop Edition
FCPA Compliance Report: Navigating Compliance in 2026: Trends and Transformations
Daily Compliance News: February 16, 2026, The Never Forget Blankee(t) Edition
Sunday Book Review: February 15, 2026, The Top Books on Business Failures Edition
AI Today in 5: February 13, 2026, They Try to Hack Gemini Edition
2 Gurus Talk Compliance - Episode 70 - The Ethics Edition
Daily Compliance News: February 13, 2026, The Social Law and Corruption Edition
Latham in Focus: Understanding the America First Investment Policy
AI Today in 5: February 12, 2026, The AI to the Moon Edition
Daily Compliance News: February 12, 2026, The Social Media Addiction Edition
Great Women in Compliance: Why Decision Rubrics Matter in the Age of AI with Hemma Lomax and Shalini Rajoo
AI Today in 5: February 11, 2026, The Hits and Misses Edition
Daily Compliance News: February 11, 2026, The US Plummets on the TI-CPI Edition
Compliance into the Weeds: NPAs, Escalation and Ethics in Competing
Trading, Gambling, or Something Else? Prediction Markets and the Payments Puzzle — Regulatory Oversight Podcast
AI Today in 5: February 10, 2026, The AI Redefining GRC Edition
Podcast - Victories and "Losses" in the Courtroom
Daily Compliance News: February 10, 2026, The Athletes, Injuries and Ethics Edition
AI Today in 5: February 9, 2026, The AI Agents Doing Compliance Edition
FCPA Compliance Report: FCPA Enforcement Shifts: Volatility and Uncertainty
FINRA has issued Regulatory Notice 26 03, providing updated and consolidated guidance on the use of negative consent to effect the bulk transfer or assignment of customer accounts between broker dealers. This new guidance is...more
Following the recent Privy Council decision in Jardine Strategic Ltd v Oasis Investments II Master Fund Ltd [2025] UKPC 34 (Jardine), the following key takeaways should be observed: Following the decision in Jardine, it...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
On January 22, 2026, FINRA filed a proposed rule change with the SEC to adopt FINRA Rule 3290, which would replace existing FINRA rules on outside business activities (OBAs) and private securities transactions (PSTs)....more
Umbrella fund structures in the Cayman Islands are commonly established either as an exempted company (“EC”) or as a segregated portfolio company (“SPC”)....more
On February 3, 2026, the Delaware Supreme Court, sitting en banc, issued an order in North American Fire Ultimate Holdings, LP v. Alan Doorly, reversing the Court of Chancery’s dismissal of claims to enforce restrictive...more
On January 28, the SEC issued a statement clarifying the application of federal securities laws to tokenized securities, which are financial instruments represented by digital assets and recorded on distributed ledger...more
The Credit Roundtable, an association of fixed income investors, recently published a letter to the Securities and Exchange Commission (the “SEC”) expressing concern with potential changes to the SEC’s debt tender offer...more
Introduction - The 2026 proxy season is expected to bring meaningful developments that have the potential to reshape how companies approach the proxy process. From the continued reversing of the pendulum regarding...more
Prediction markets are online platforms where people can bet on the outcome of future events with a “yes” or “no” answer, including contracts based on sports, popular culture and politics. These markets have exploded in...more
The European Commission (EC) has launched a consultation on a draft Delegated Regulation supplementing the European Market Infrastructure Regulation (EU) No 648/2012 (EMIR) as amended by EMIR 3 (EU) No 648/2012)....more
Both the Financial Industry Regulatory Authority ("FINRA") and the National Futures Association ("NFA") have implemented rules prohibiting the practice of "frontrunning." Criminal prosecutors and financial regulators have...more
Delegated Regulation (EU) 2026/323 amending Delegated Regulation (EU) 2022/805 to update the supervisory fee framework for benchmark administrators under the oversight of the European Securities and Markets Authority (ESMA),...more
Following the UK Financial Conduct Authority's (FCA) decision to lift its 4-year ban on 8 October 2025 on offering cryptoasset-backed exchange-traded notes (cETNs) to retail investors in the UK, a steady stream of market...more
Welcome to AI Today in 5, the newest addition 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
As you may be aware, the registration deadline is rapidly approaching for California’s Fair Investment Practices by Venture Capital Companies Law (“FIPVCC”), which tasked the California Department of Financial Protection and...more
Delegated Regulation (EU) 2026/305 supplementing the European Market Infrastructure Regulation (EU) No 648/2012 (EMIR) has been published in the Official Journal of the European Union (OJ). The Delegated Regulation, which was...more
Key Takeaways - Prediction markets are squarely in the DOJ, the SEC, and the Commodity Futures Trading Commission’s (CFTC) sights, so fraud and manipulation will be prosecuted, and CFTC rulemaking on event contracts is...more
The Federal Court has handed down its reasons in Australian Securities and Investments Commission v FIIG Securities Limited [2026] FCA 92, marking the first time the Court has imposed a civil penalty on an Australian...more
Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, we replay a recent webinar Tom Fox participated in, hosted by EQS. The panel moderator was Steph Holmes, and the...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
On January 23, 2026, the staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission issued a letter in which it stated it would not object if a large investment bank (the “Bank”) determines...more
I. Introduction - U.S. banks are increasingly turning to significant risk transfers (SRTs) to manage credit risk and optimize regulatory capital. SRTs are transactions that satisfy the definition and operational criteria...more
On January 28, 2026, the SEC’s Divisions of Corporation Finance, Investment Management, and Trading and Markets issued a joint statement addressing “tokenized securities.”...more