31 Days to a More Effective Compliance Program: Day 14 - Internal Controls
Great Women in Compliance: When Women Speak Up: Gender, Whistleblowing and Retaliation
AI Today in 5: January 14, 2026, The Apple Folds Edition
Compliance into the Weeds: The Department of Retribution
Daily Compliance News: January 14, 2026, The Ghost of Odebrecht Edition
31 Days to a More Effective Compliance Program: Day 13 - Policies and Procedures
AI Today in 5: January 13, 2026, The Ethical AI in Africa Edition
Innovation in Compliance: The Strategic Evolution of Compliance - Insights from Angie McPhail
Daily Compliance News: January 13, 2026, The Don’t Be a FED Chair Edition
31 Days to a More Effective Compliance Program: Day 12 - The Importance and Construction of a Corporate Code of Conduct
All Things Investigations: Navigating Compliance Challenges in Venezuela’s Energy Sector
AI Today in 5: January 12, 2026, The Turning Comms into Compliance Edition
FCPA Compliance Report: Going into Venezuela, Navigating the Corruption Risks, a Conversation with Matt Ellis
Daily Compliance News: January 12, 2026, The Corruption is Free Speech Edition
31 Days to Effective Compliance Program: Day 11 - Moving Compliance Down into an Organization
Sunday Book Review: January 11, 2026, The Classic Crime Novel Homage Edition
31 Days to a More Effective Compliance Program: Day 10 - Leadership’s Role in Shaping Corporate Culture and Compliance
31 Days to a More Effective Compliance Program: Day 9 - Continuous Monitoring and Continuous Improvement
From Vegas to Venezuela: High-Stakes Predictive Markets — Regulatory Oversight Podcast
AI Today in 5: January 9, 2026, The Losing Control Over PII Edition
Investment advisers may request confidential treatment of certain information in Form ADV and other filings under the Investment Advisers Act of 1940 (Advisers Act), which currently only the Commission itself has the...more
On December 31, 2025, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) finalized a two‑year delay of the effective date for the anti-money laundering/counter-financing of terrorism (AML/CFT)...more
Under Regulation D Rule 506(c) of the Securities Act of 1933, private funds may generally solicit and advertise their offerings, but all purchasers must be verified as accredited investors before being allowed to invest. ...more
FinCEN has now adopted its previously‑proposed two‑year delay in the effective date for the investment adviser AML rule (including the requirements to establish AML programs and file SARs) until January 1, 2028. FinCEN...more
Welcome to our EU crypto update - a roundup of key Irish and EU legislative and regulatory developments shaping the crypto-asset sector....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 7 January 2025, President Donald Trump issued an executive order (EO) aimed at limiting and preventing certain large defense contractors from conducting stock buybacks, issuing dividends, and awarding executive...more
Employers sponsoring equity incentive plans or tax-qualified employee stock purchase plans (“ESPP”) must fulfill certain year-end information reporting requirements under Section 6039 of the Code with respect to company stock...more
IPOs and Small Public Companies As we noted in our prior post, the Office of the Advocate for Small Business Capital Formation recently issued its Staff Report for fiscal year 2025, which provides information on the Office’s...more
Effective December 19, 2025, Nasdaq Rule IM-5101-3 introduces a risk-based framework permitting Nasdaq to deny initial listings based on perceived susceptibility to manipulation, including risks arising from third-party...more
As a founder, deciding whether to organize your business as a corporation or a limited liability company (LLC) is a crucial first step. Corporations are often favored for their ability to attract venture capital and offer...more
The Fiscal Year 2026 National Defense Authorization Act, signed into law on December 18, 2025, includes the Comprehensive Outbound Investment National Security Act of 2025 (COINS Act), which establishes a statutory framework...more
On December 18, 2025, President Trump signed into law the Holding Foreign Insiders Accountable Act (the Act), which amends Section 16(a) of the Securities Exchange Act of 1934 to require directors and officers of publicly...more
The United States Securities and Exchange Commission (SEC) on Dec. 17 issued a statement noting its position on the applicability of Rule 15c3-3 regarding broker-dealers that hold crypto asset securities, including such...more
Institutional investment managers, including venture and private equity funds and other institutional investors, that engage in the short selling of equity securities should be mindful of the Securities and Exchange...more
Now that 2026 has begun, United States public companies with a December 31 fiscal year-end will be working to prepare their annual reports on Form 10-K for filing with the US Securities and Exchange Commission (SEC). ...more
On January 9, 2026, the U.S. Court of Appeals for the Ninth Circuit heard oral argument in Chamber of Commerce of the United States of America, et al. v. Sanchez, No. 25-5327 (9th Cir.), challenging California’s climate...more
On January 8, 2026, FINRA issued Regulatory Notice 26-02 announcing proposals for a new rule and revisions to two existing rules. FINRA seeks to revise Rule 4512’s provisions regarding trusted contact persons, to increase...more
The EB-5 market is set for another milestone year in 2026, and the American Lending Center (ALC) is continuing our focus on Immigrant First Investing....more
On January 7, the Securities and Exchange Commission (SEC) proposed amendments (the Proposal) to raise the small entity thresholds for purposes of the Regulatory Flexibility Act (RFA) for investment companies and advisers....more
This memorandum outlines key considerations from White & Case’s Public Company Advisory Group for foreign private issuers (“FPIs’”) during the 2026 annual reporting season, divided into two sections: Form 20-F art I: Top...more
On January 7, 2026, the White House issued a sweeping new executive order (EO) titled “Prioritizing the Warfighter In Defense Contracting.” It declares, “Effective immediately, [underperforming defense contractors] are not...more
Yesterday, SEC Chairman Paul Atkins issued this statement soliciting comments on the entirety of Regulation S-K, “with the goal of revising the requirements to focus on eliciting disclosure of material information and avoid...more
On January 7, 2026, President Donald Trump issued a new executive order (EO) aimed at realigning defense contractors’ incentives to prioritize domestic investment, timely delivery and quality over investor returns....more
This alert serves as a reminder of certain year-end reporting requirements imposed under Section 6039 of the Internal Revenue Code (IRC) of 1986, as amended, with respect to: Incentive stock option (ISO) exercises by current...more
