Compliance Tip of the Day: Multiplying the Influence of Compliance
Diligent: Navigating Regulatory Changes and Compliance in Trade and Data Privacy with Stephanie Font
Daily Compliance News: May 13, 2025, The Leaving on a Jet Plane Edition
Compliance tip of the Day: Communication Through Persuasion
All Things Investigations: Task Force Strategies - Addressing New Government Priorities
Adventures in Compliance: Investigate Lessons from A Study in Scarlet
FCPA Compliance Report: Upping Your Game in Compliance
Daily Compliance News: May 12, 2025, The Corruption in the Broad Daylight Edition
Episode 368 — LRN Issues New Report Highlighting Growing Gap in Compliance Program Performance
Sunday Book Review: May 11, 2025, The Celebrating Texas Writer’s Month Edition
Because That's What Heroes Do: Deep Space 9 - Episode 32: The Dogs of War: Setting the Stage in Deep Space Nine
10 For 10: Top Compliance Stories For the Week Ending May 10, 2025
12 O’Clock High, a podcast on business leadership: Emotional Health and High Achievers: A Journey to Balance with Dr. Karthik Ramanan
Creativity and Compliance: From Compliance Enforcers to Trusted Advisors: The Path Forward
Daily Compliance News: May 9, 2025, The Bring Out Your Dead Pardon Edition
Compliance Tip of the Day: Middle Managers as the Eyes and Ears of Compliance
Everything Compliance: Episode 153, The CW 25 Edition
Innovation in Compliance: Exploring the Intersection of Compliance, Technology, and AI with Ben Sperry
Daily Compliance News: May 8, 2025, The $1MM for a Pardon Edition
Compliance Tip of the Day: Elevating Compliance Through Connected Middle Managers
SEC Issues New Guidance on Exclusion of Shareholder Proposals - Since the beginning of the year, the US Securities and Exchange Commission’s (SEC) Division of Corporation Finance staff (Corp Fin Staff) has issued several...more
“The most recent development in the registered investment funds space has been the long-awaited movement toward the SEC granting dual share class ETF exemptive relief. This will be a significant catalyst for growth in...more
In a significant development for the digital asset industry, Republican lawmakers from the U.S. House Committees on Financial Services and Agriculture have released a comprehensive discussion draft of proposed legislation...more
As noted in this USA Today article, Senators Elizabeth Warren and Mark Warner sent a letter a few weeks ago to the GAO requesting an investigation into the impact of the SEC’s recent buyouts and the upcoming layoffs resulting...more
On April 28, 2025, Judge Edward M. Chen of the United States District Court for the Northern District of California dismissed a putative securities fraud class action asserting claims against a solar panel manufacturer (the...more
On April 11, 2025, a cryptocurrency platform (the “Company”) moved to certify for interlocutory appeal the September 5, 2024 decision by Judge Brian R. Martinotti of the United States District Court for the District of New...more
On April 22, 2025, Laura D’Allaird, Chief of the SEC’s Cyber and Emerging Technologies Unit (CETU), participated in the Incident Response Forum Masterclass 2025 (Incident Response Masterclass). In the session, titled “SEC...more
As part of the UK government’s aim to create legislation establishing a regulatory framework for cryptoassets, on 2 May 2025 the UK Financial Conduct Authority (FCA) published Discussion Paper DP25/1....more
On May 5, 2025, Judge Yvonne Gonzalez Rogers of the United States District Court for the Northern District of California granted a motion to dismiss a proposed class action asserting claims against a biopharmaceutical company...more
The New York Stock Exchange (Exchange) has recently adopted two rule changes, one to reduce fees for the initial period of a company’s listing on the Exchange and another to formally expand the universe of holders that will...more
The current administration has indicated an intention for the U.S. to be a leader in the cryptocurrency industry, as discussed in the recent webcast Bank Regulatory Agency Update Under DOGE: What Every Financial Institution...more
Share on LinkedIn Share on Twitter Print Share by Email Share Back to top Last month, YA Global Investments, LP (the “Fund”) filed a notice of appeal to the U.S. Court of Appeals for the Third Circuit, seeking review of the...more
Situation Overview: The SEC’s Crypto Task Force is advancing its exploration of regulatory frameworks for digital asset custody. What: The SEC hosted its third roundtable, Know Your Custodian, focusing on challenges and...more
On May 8, 2025, SEC Commissioner Hester Peirce delivered a speech at the SEC’s 31st International Institute for Securities Market Growth and Development in Washington, D.C. In her speech, Commissioner Peirce underscored the...more
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
Innovation comes in many areas, and compliance professionals must be ready for and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning...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...more
In the first three months of the second Trump administration, federal regulators have signaled a shift in priorities while enforcing federal securities violations and consumer protection laws. In fact, the administration has...more
The US Court of Appeals for the Eighth Circuit recently granted the Motion to Hold Case in Abeyance (the Motion) in Iowa v. US Securities and Exchange Commission – the case challenging the SEC’s 2024 climate disclosure rules...more
On May 8, 2025, the Securities and Exchange Commission (“SEC”) held the 31st International Institute for Securities Market Growth and Development. Commissioner Peirce used this opportunity to discuss an approach to regulating...more
U.S. Fintech Companies Announce Stablecoin Initiatives - Several major U.S. fintech companies recently announced stablecoin initiatives. In one development, Mesh, a Dubai-based digital asset startup, announced that it has...more
The Bank of England (BoE) has published key elements to its 2025 Stress Test of UK Central Counterparties (CCPs), along with a spreadsheet containing the relevant market stress scenarios. This exercise, the fourth of its...more
Dealmaking within the US and Europe is climbing as crypto assets increasingly enter the mainstream - Dealmaking in the digital currency space is flourishing, buoyed by strong industry growth, political backing and supportive...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
Until recently, the UK and EU post-Brexit market abuse regimes remained substantially aligned. However, the passing of the EU Listing Act reforms in 2024 has meant that UK and EU MAR have started to diverge meaningfully for...more
