Compliance Tip of the Day - Monitoring of Internal Controls
Innovation in Compliance: Advancements in AI Technology for Fraud Prevention Strategies with Jack Yu
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
Daily Compliance News: December 5, 2025, The White Collar Criminal Enterprise Edition
Regulatory Ramblings: Episode 83 - Hong Kong’s New Protection of Critical Infrastructures (Computer Systems) Ordinance
Everything Compliance: Episode 162, The Numbers, Numbers, Numbers Edition
Compliance Tip of the Day - M&A - Pre-Acquisition: Reviewing Financial and Operational Data
AI Today in 5: December 4, 2025, The Microsoft Blips Edition
Daily Compliance News: December 4, 2025, The End of the Pyramid Edition
Great Woman in Compliance: GWIC Joins Everything Compliance
On November 17, 2025, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) published its annual 2026 Examination Priorities (the “Exam Priorities”). The Exam Priorities are...more
By special arrangement with ACI, I was able to record several participants, speakers, panelists, and moderators from the recently concluded ACI FCPA and Global Anti-Corruption Conference held at the Gaylord near Washington,...more
California’s ambitious climate disclosure regime has hit a significant roadblock. On November 18, 2025, the Ninth Circuit Court of Appeals granted an injunction halting enforcement of SB 261, the Climate-Related Financial...more
The House passed two capital formation bills aimed at easing securities regulations for venture capital funds, and the following day SEC Chair Paul Atkins outlined the Commission’s agenda to revive U.S. capital markets,...more
On November 25, the House Financial Services Committee majority staff published Operation Chokepoint 2.0: Biden’s Debanking of Digital Assets, a detailed account of how, in the Committee’s view, federal prudential regulators...more
On December 3, 2025 the SEC issued an Order granting temporary exemptive relief from compliance with Rule 13f-2 and Form SHO. Pursuant to Rule 13f-2 an “institutional investment manager” (which by definition includes...more
Each year, the Alberta Securities Commission (ASC) publishes its Corporate Finance Disclosure Report, providing important insights into the ASC’s areas of focus and offering practical guidance to reporting issuers in...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 December 10, 2025, the United States Supreme Court will hear arguments in FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd. to resolve a circuit split and determine whether there is a private right of action...more
The 2026 outlook for market activity is cautiously optimistic amid ongoing challenges. Private equity firms are shifting to more hands-on, creative strategies to unlock liquidity in aging portfolios, with increased use of...more
The UK Financial Conduct Authority (FCA) has published a new webpage with updated forms and checklists to support the UK's new Public Offers and Admission to Trading regime (POATR) which fully comes into force on 19 January...more
In recent years, meme stocks have captured headlines and ignited debate among investors and legal professionals alike. One of the most dramatic examples unfolded in late October 2025, when Beyond Meat, a well-known producer...more
Under the leadership of the Securities and Exchange Commission’s (SEC or Commission) Chairman Paul Atkins, there have been several significant developments that affect shareholder proposals. The SEC’s most recent development...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 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
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
Last week, the Securities and Exchange Commission’s Investor Advisory Committee met to discuss, among other things, whether to recommend to the SEC that it issue additional disclosure guidance related to artificial...more
On December 5, 2025, the Securities and Exchange Commission consented to modifications to the Global Research Settlement applicable to settling firms, which has been in place since the aftermath of the dot‑com bubble...more
On 17 November 2025, the Division of Corporation Finance (the Division) of the US Securities and Exchange Commission (the SEC) issued a statement announcing that it will not respond to or express views on most no-action...more
Crypto Firms Announce New Licenses, Products; USDT Stability Rating Lowered - On Nov. 25, MoonPay, a crypto payments company, announced that its newly established trust company obtained a trust charter from the New York...more
On November 21, the Congressional Research Service released a report reviewing possible disruptions in the U.S. Treasury securities market and outlining policy options. The nearly $30 trillion Treasury market is critical for...more
Our Securities Litigation and White Collar, Government & Internal Investigations Teams outline how Congress’s market structure proposals and the Securities and Exchange Commission’s (SEC) emerging token classification...more
On May 12, 2025, Matthew R. Galeotti, Acting Assistant Attorney General (AAG) of DOJ’s Criminal Division, issued a memorandum to all Criminal Division personnel. The subject of that memorandum was “Focus, Fairness, and...more
On December 3, 2025, the Securities and Exchange Commission (the “SEC”) announced that it was providing a second temporary exemption from compliance with Rule 13f-2, the short sale reporting rule, and related Form SHO and...more
For the first time in nearly two decades, the SEC is preparing to modernize Item 402 of Regulation S-K, the backbone of public-company executive compensation disclosure. Although the timing remains uncertain, we expect...more
