Everything Compliance: Episode 145, 8 Years Later: the Second Trump Administration
Daily Compliance News: November 14, 2024 - The Matt Gaetz as AG Edition
Compliance into the Weeds: Understanding the Telefonica Venezuela FCPA Enforcement Action
Compliance Tip of the Day: Board Questions and Metrics for 3rd Party Risk Management
Great Women in Compliance: Karen Bertha - Reflections and Resilience Through a Compliance Career
Daily Compliance News: November 13, 2024 – The China Problem Edition
A Conversation with SEC Commissioner Hester Peirce
All Things Investigations – Anna Hamati on Key Lessons from the TD Bank AML Enforcement Action
Compliance Tip of the Day: CCOs Reporting to the Board
Navigating the Dark Side of Crypto: Crime, Compliance, and Consumer Protection – The Crypto Exchange Podcast
Everything Compliance, Shout Outs and Rants – Episode 145, 8 Years Later
Innovation in Compliance – Exploring Client-Side Security and PCI DSS Compliance with Rui Ribeiro
Daily Compliance News: November 12, 2024 – The Science of Corruption Edition
AI Washing: Simple Guidance to Avoid Risk
Compliance Tip of the Day: Lessons Learned From Telefónica Venezolana
Daily Compliance News: November 11, 2024 – The Veteran’s Day Edition
Adventures in Compliance – Leadership Lessons from Sherlock Holmes in The Illustrious Client
Episode 344 -- SEC Settles FCPA Case with Moog for $1.7 Million
Sunday Book Review: November 10, 2024 – The Books on Middle Manager Edition
Because That’s What Heroes Do: Deep Space 9: Episode 17 – Sacrifice of Angels: Forging New Alliances with Bonds that Defy Time and Space
Welcome to this Special Edition of Everything Compliance. This podcast came into existence as a way to chronicle what Donald Trump would mean for compliance in his first administration. Our first episode was 8 years ago after...more
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to 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
Trump’s victory could mean big changes for Fintech and Crypto. With the election of Donald J. Trump as the 47th President of the United States, along with the flip of the Senate to the Republicans and, as of this writing,...more
The Canadian Securities Administrators (“CSA”) have published for comment proposed amendments and changes to modernize the continuous disclosure regime for investment funds (collectively, the “Proposed Amendments”). The...more
The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2024 have been published, with an accompanying explanatory memorandum. Regulations 3 to 7 make consequential amendments in connection with the...more
The Financial Conduct Authority has opened a consultation on extending the new payment optionality for investment research to pooled funds. This proposal will allow asset managers to use the new payment optionality that was...more
The Retail Investment Strategy Directive (“RISD”) aims to enhance investor protection in order to foster retail investors' participation to the financial market and improve overall market efficiency. By ensuring that...more
Following its consultation earlier this year, the Financial Conduct Authority has published a policy statement setting out its final position on the new U.K. bond and derivative transparency regime. In response to feedback,...more
The SFCR and Other Public Reporting - Introduction - The Solvency II regime, as legislated in the Solvency II Directive and elaborated upon in Chapter XII of the EU Commission Level 2 Delegated Regulation (2015/35), is...more
The Financial Conduct Authority has launched a questionnaire on the current and future uses of AI in U.K. financial services and the financial services regulatory framework. The initiative is part of the FCA's AI Input Zone,...more
This year has proven to be a pivotal one for the Bitcoin industry. Out of the gate, the Securities and Exchange Commission took the dramatic step of approving the first spot Bitcoin ETP following a decade of repeated denials....more
The National Development Plan 2019-2024 was designed to promote private investment with a framework of legal certainty and transparency. Through the Decree of July 26, 2023, the Single Window for Investors and the Single...more
Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption law and enforcement developments from the past...more
Under the second Trump administration, the Securities and Exchange Commission (SEC) is likely to see broad changes in regulatory and enforcement initiatives once Chairman Gary Gensler leaves the commission, as is expected....more
The Securities and Exchange Commission (SEC) has recently adopted final rules applicable to SEC-registered Covered Clearing Agencies (CCA), which are intended to help protect investors by enhancing CCAs’ risk management...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from October 2024. In October 2024: As discussed in a recent LawFlash, the US Securities and...more
Notre liste de vérification sur les opérations transfrontalières souligne certaines des particularités, sur le plan commercial et juridique, propres à la réalisation d’opérations transfrontalières au Canada, y compris...more
On September 25, the SEC announced that it had initiated and simultaneously settled cease-and-desist proceedings against 23 individuals and companies charged with violations of Exchange Act provisions and SEC rules that...more
Our cross-border checklist highlights some of the distinct business and legal considerations when doing a deal in Canada, including key aspects that may impact Canadian investments and operations. These different facets...more
As I recently noted in this blog, there are actions you should be taking now to prepare for the SEC’s new EDGAR Next. One thing you should be doing is becoming educated about what this is all about. Know that there is still a...more
SEC Penalizes Director for Misleading D&O Questionnaire Response - The SEC recently brought an enforcement action against a director for causing violations of the proxy rules by failing to disclose a close personal...more
On 13 September 2024 Legislative Decree no. 129/2024 (Decree no. 129), implementing the MiCAR Regulation (Regulation (EU) 2023/1114 of the European Parliament and of the Council of 31 May 2023 on markets in crypto-assets –...more
While the topic of material contract filing was covered comprehensively in a previous Blakes bulletin originally published in 2008, an updated guide on this topic is long overdue. Given the commentary regarding deficiencies...more
"The United States, with its history of welcoming innovators, has a large reserve of good will. In a country that ever aspires to improve with time, people are hopeful that bad policy approaches can change. This hope is not...more
Following a significant increase in transactions during Q3 2024, optimism is growing for an even stronger year ahead. Our co-published annual report explores growth opportunities and emerging trends that are essential to...more