Compliance Tip of the Day: Leading from the Inside Out
Great Women in Compliance: The Future of Enforcement with Jennifer Lee
Compliance into the Weeds: Global Anti-Corruption Leadership
Daily Compliance News: March 26, 2025, The Missile Strike on Boeing Edition
Compliance Tip of the Day: Clarifying Compliance Mandates
Innovation in Compliance: Visionary Leadership with Jackson Calame
2 Gurus Talk Compliance: Episode 48 – The March Madness Edition
Compliance Tip of the Day: A Personal Operating System for Compliance Professionals
FCPA Compliance Report: Navigating the Complexities of FTO Designations and Compliance in Mexico and Latin America
Daily Compliance News: March 24, 2025, The ABC Task Force Edition
Sunday Book Review: March 23, 2025, The Hard-Boiled Edition
Because That’s What Heroes Do: Deep Space 9 – Episode 25: Penumbra and Beginning of the Final Arc
10 For 10: Top Compliance Stories For The Week Ending, March 22, 2025
FINCast Ep. 40 – 21st Century Financial Warfare: Technology, Economy, & National Security
Compliance Tip of the Day: Embedded Compliance
Culture Crafters: Exploring Accountability and Culture in Corporate Leadership
Creativity and Compliance: Innovating Ethics - Creativity in Corporate Compliance with Katie Lawler
Daily Compliance News: March 21, 2025, The Fired Edition
Compliance and AI: Ali Khan on Implementing AI Risk Management Systems
Compliance Tip of the Day: Real-Time Compliance Scoring
Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
AT A GLANCE - On March 19, the SEC released updated guidance for compliance with Rule 206(4)-1 under the Investment Advisers Act of 1940, with two major revisions: (i) an update to prior guidance regarding the use of...more
The US Bankruptcy Court for the Southern District of New York (the Court) recently approved third-party releases contained in a chapter 11 plan (the Plan) and found that, under the facts and circumstances, the opt-out...more
On March 20, 2025, the staff of the Division of Corporation Finance (the “Staff”) of the U.S. Securities and Exchange Commission (the “Commission”) made a number of changes to the Division’s Compliance and Disclosure...more
For most registered investment advisers (RIAs), their annual update to Form ADV will be due on March 31, 2025. We have received several questions about “custody” and peculiar situations where RIAs may inadvertently have...more
Australian Update - ASIC's Key Issues Outlook for 2025 - On 24 January 2025, the Australian Securities and Investments Commission (ASIC) released its key issues outlook for 2025 which provides insights for Australian...more
On 19 March 2025, the Securities and Exchange Commission staff issued updated frequently asked questions (FAQs) relating to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Marketing Rule) (available here)....more
In a break from the typical acting agency chairman, Acting Commodity Futures Trading Commission ("CFTC") Chairman Caroline Pham has taken several significant actions, signaled several more, and set the agency on a path to...more
NEW AND PROPOSED RULES - Third Set of Form PF Amendments to Take Effect on June 12, 2025 - Attorneys in Vedder Price’s Investment Services Group recently published a bulletin, available here, on the third set of...more
On whether to recommend Bitcoin and other digital assets for clients, financial advisers are wary about their fiduciary duty to clients, according to a CoinShares survey....more
When conducting the dry run for your annual meeting, be sure to cover – to the extent you can – the unexpected by conducting scenario planning. Things might go according to plan, but they might not. Better to be safe than...more
FINRA has proposed a single, streamlined rule (the Proposed Rule) to replace FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of an Associated Person)...more
On March 19, 2025, Judge Paul A. Engelmayer of the United States District Court for the Southern District of New York dismissed with prejudice a putative class action asserting claims under the Securities Exchange Act of 1934...more
On March 19, 2025, Judge Charles E. Fleming of the United States District Court for the Northern District of Ohio dismissed a putative class action asserting claims under the Securities Exchange Act of 1934 and the Securities...more
On March 14, 2025, Judge John P. Cronan of the United States District Court for the Southern District of New York granted summary judgment in favor of defendants in an action brought under Section 16(b) of the Securities...more
We are now starting to see a real shift in the UK Financial Conduct Authority’s (FCA) Enforcement strategy following a changing of the guard in 2023, which brought in Therese Chambers and Steve Smart to be Joint Executive...more
March 24, 2025- Federal Reserve Board Governor Michael S. Barr gave a speech entitled, “Helping Small Businesses Reach Their Potential,” at the Aspen Institute. March 24, 2025- The Federal Reserve Bank of New York...more
The SEC rescinded Staff Legal Bulletin No. 14L and issued updated guidance on the exclusion of shareholder proposals under Rule 14a-8 and certain other aspects of Rule 14a-8....more
A few months ago, in our client alert titled “Mr. Bitcoin Goes to Washington,” we discussed the cryptocurrency industry’s significant political resurgence in the wake of the 2024 election. We not only forecasted a more...more
The number of securities class action settlements increased slightly in 2024 while the size of those settlements declined, according to a new report from Cornerstone Research. The report, Securities Class Action...more
To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week....more
The Securities and Exchange Commission has expanded the confidential filing options, including...more
Form S-3 registration statements filed by issuers who are not well-known seasoned issuers may now be declared effective before the filing of the proxy statement containing Part III information that was properly omitted from...more
On March 12, 2025, the Staff of the SEC Division of Corporation Finance (the Staff) provided guidance in response to a letter requesting interpretive guidance (the No-Action Letter) to clarify the verification requirement of...more
On March 19, 2025, the staff of the SEC’s Division of Investment Management (the “Staff”) updated its Marketing Compliance Frequently Asked Questions (“FAQs”) to address the inclusion by SEC-registered investment advisers of...more
