Everything Compliance: Episode 161, The Tribute Adam Turteltaub Edition
ACI-FCPA Conference Speaker Preview Series - Michael Harper on Reading the Tea Leaves for FCPA Enforcement Going Forward
Compliance Tip of the Day – NBA Betting Scandal – The Role of Compliance in Sports Leagues
AI Today in 5: November 6, 2025, The AI and Marketing Compliance Edition
Daily Compliance News: November 6, 2025, The Norway Says No to Musk Edition
ACI-FCPA Conference Speaker Preview Series - Andrew Bruck on Updating Your Due Diligence Program
Compliance Tip of the Day: NBA Betting Scandal - A Short History of BasketBall Betting Scandals
Great Women in Compliance: The Art and Science of Compliance: Nicole Rose on Culture, Curiosity, and Change
AI Today in 5: November 5, 2025, The Another One Bites the Dust Edition
Compliance into the Weeds: Incentives in Compliance: Structuring Effective Compensation Plans
Daily Compliance News: November 5, 2025, The Sex Dolls in Paris Edition
Everything Compliance Shout Out & Rants: Episode 161 - The Tribute Adam Turteltaub Edition
Innovation in Compliance: Dare to Dream: Leveraging AI and Innovation
Compliance Tip of the Day - NBA Betting Scandal-Prop Bets and Sports Books
NFTs on Trial: The Yuga Labs Verdict and What It Means for the Digital Frontier — The Crypto Exchange Podcast
ACI-FCPA Conference Speaker Preview Series - Mike Huneke on Trade, Tariffs and Corruption Risks
Daily Compliance News: November 4, 2025, The No Idea Edition
ACI - FCPA Conference Speaker Preview Series - Mike Koenig on Going Behind the Curtain of Corporate Governance
FCPA Compliance Report - Navigating the Complexities of Self-Disclosure Amidst Political and Legal Uncertainties
Compliance Tip of the Day – NBA Betting Scandal-Introduction
On 6 November 2025, the long-awaited “SFDR 2.0” has finally surfaced in a leak and, as many in the market expected, it represents a major reset of Europe Union’s (“EU”) sustainable finance framework. The proposal, still in...more
Tokenization is the process of creating an asset, or a digital record of an asset, by issuing a blockchain-based token. It is gaining momentum at institutional and governmental levels by transforming access to public and...more
Welcome to the FinReg Monthly Update, a regular bulletin highlighting the latest developments in UK, EU and U.S. financial services regulation....more
The Guernsey Financial Services Commission (the GFSC) has welcomed the Court of Appeal judgment relating to the long-running Providence enforcement procedure. This judgment confirms several key findings of wrongdoing...more
The secondaries market is on track for a record-breaking year, reaching $165 billion in transaction value through Q3 2025, with strong momentum carrying into the final quarter of the year, fueled by rising liquidity needs...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
Introduction Under the CRR and as part of the prudential regulation of credit institutions, regulated firms, including banks, must comply with risk-based capital ratio requirements. Generally speaking, this ratio is: (i) the...more
In Summer 2025, the U.S. Court of Appeals for the Sixth Circuit issued a strongly worded decision in In Re: FirstEnergy Corporation (No. 24-3654)—confirming the core concept that internal investigations conducted by counsel...more
On November 3, 2025, IOSCO released its anticipated Pre-Hedging Final Report (“Final Report”) detailing its assessment of current pre-hedging market practices and setting out recommended guidance for International...more
Welcome to the latest edition of Fenwick’s Securities Law Update. This issue contains updates and important reminders on...more
The California Air Resources Board (CARB) will not publish initial rulemaking for SB 253 and SB 261 — two laws that will impose certain environmental disclosure requirements on large companies doing business in the state —...more
The enactment earlier this year of the One Big Beautiful Bill Act (the “Act”)generated a fair amount of excitement in the business community. If one had to identify a single provision of the Act in which the owners and...more
The Securities and Exchange Commission recently issued a notice regarding intended exemptive relief (the “Notice”) that would permit an open-end management investment company (referred to herein as an “open-end fund”)...more
Welcome to this edition of award-winning Everything Compliance. In this episode, we have the complete quintet of Matt Kelly, Jonathan Armstrong, Karen Woody, and Karen Moore with Tom Fox, the Compliance Evangelist, sitting in...more
The Canadian Securities Administrators (CSA) have proposed a multi-year pilot initiative to allow eligible venture issuers to voluntarily adopt semi-annual financial reporting. To be eligible, among other criteria, a venture...more
On May 16, 2024, the Securities and Exchange Commission (“SEC”) adopted amendments (the “Amendments”) to modernize Regulation S-P (“Reg S-P”). The Amendments include substantially expanded requirements for safeguarding...more
Shareholder activism is widespread among the largest U.S. public companies, with diverse activists pursuing campaigns on issues ranging from governance to policy through shareholder proposals and strategic voting. As...more
In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Michael Culhane Harper discusses his panel at the event, “Reading the Prosecutorial Tea Leaves: What the DOJ’s FCPA Case Pipeline...more
The challenge - A decade ago, Navan set out to revolutionize the travel industry through an all-in-one platform to streamline how business travelers navigate the world – with artificial intelligence at its core....more
This guide provides a brief overview of the British Virgin Islands (the “BVI”) Approved Investment Manager regime and its suitability and attractiveness for use with Separately Managed Account structures (“SMAs”). Separately...more
On October 6, 2025, the U.S. Supreme Court denied a petition for certiorari in BDO USA,LLP v. New England Carpenters Guaranteed Annuity and Pension Funds, No. 24-1151, a closely watched case involving securities fraud claims...more
The RIA Compliance and Legal Strategies Conference is back at our offices in Hamilton, NJ. The Conference is an essential event for RIAs and IARs to gain a valuable understanding of current regulatory and compliance-related...more
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more
