Compliance into the Weeds: Live from the Floor of ACI
Great Women in Compliance - Global Corruption Prevention: A View from France
Compliance Tip of the Day – Improvement of Internal Controls
AI Today in 5: December 10, 2025, The Redefining Compliance Edition
Daily Compliance News: December 10, 2025, The US Credibility Under Strain Edition
Compliance Tip of the Day - Monitoring of Internal Controls
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
In November 2025, there were three Rule 2.7 announcements made across the UK public M&A market and eight further possible offers announced. Firm Offers announced this month: • Recommended cash offer by Permira Advisers...more
On December 2, 2025, Brian Daly, Director of the Securities and Exchange Commission (the “SEC”) Division of Investment Management (the “Division”), delivered remarks to the American Bar Association outlining the Division’s...more
On December 3, 2025, the Securities and Exchange Commission (the “SEC”) issued an exemptive order to postpone the compliance deadline for Rule 13f-2 under the Securities Exchange Act of 1934 by two years. The new deadline...more
On 8 December 2025, the United Kingdom’s Financial Conduct Authority (“FCA”) published a consultation paper (CP25/36) on amending its rules on client categorisation and conflicts of interest (the “Consultation Paper”)....more
No need to bring a crib sheet, the US Securities and Exchange Commission (SEC) Division of Examinations just revealed (some of) this year’s test....more
Institutional clients prioritise scale, credibility and compliance in the digital assets sector. Distribution challenges and strict marketing restrictions remain as significant hurdles for businesses....more
The U.S. Securities and Exchange Commission’s Division of Trading and Markets has finally answered a question that has hovered over independent broker-dealers for years: when can a registered representative’s own LLC or...more
On November 21, Delaware Attorney General Kathy Jennings’s Investor Protection Unit (IPU) announced a $995,180 penalty against Kovack Advisors, Inc. (Kovack) for a series of violations of the Delaware Securities Act. The...more
On November 21, 2025, the Market Participants Division of the Commodity Futures Trading Commission (CFTC) issued a no-action letter granting relief to financial institutions engaging in certain credit risk transfer (CRT)...more
Structured finance has provided Mexican borrowers with a reliable source of capital through a period of political and macroeconomic uncertainty - In an uncertain market, where Mexican lenders have grappled with new...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
Our U.S. Securities and Exchange Commission (SEC) filing deadline calendars for 2026 have been posted on our Resources page. These calendars reflect annual and quarterly filing deadlines for large accelerated filers,...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
The date for complying with new Rule 13f-2 and filing Form SHO has been extended once more, with the first filings by covered institutional investment managers now being due February 14, 2028....more
PUBLIC TAKEOVERS IN GERMANY - For the successful acquisition of a publicly listed company in Germany, a bidder must carefully consider legal and strategic implications at each stage of the takeover process. This white...more
On November 17, 2025, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for 2026 (the “Priorities”)....more
On December 5, 2025, the Securities and Exchange Commission (the “SEC”) agreed to modify certain long-standing restrictions placed on major investment banks as part of a court settlement (commonly referred to as the “global...more
In this article, we will discuss the benefits of using a Cayman Islands holding company for Japan companies looking to list on the New York Stock Exchange (NYSE), Nasdaq, or the Hong Kong Stock Exchange....more
Dans un arrêt publié le 28 novembre 2025, la Cour suprême du Canada (la « CSC ») a confirmé que le critère à deux étapes relatif à un « changement important » en vertu de la Loi sur les valeurs mobilières de l’Ontario (la «...more
The European Securities Markets Authority (ESMA) has issued a statement to support the smooth implementation of the regulation on markets in cryptoassets (MiCAR) data standards and format requirements. The statement provides...more
The UK Financial Conduct Authority (FCA) has published policy statement PS25/17 on removing the systematic internaliser regime for bonds, derivatives, structured finance products and emission allowances from 1 December....more
Rules are changing in the UK and EU, but the biggest test is the US 401(k) system — home to more than $9 trillion and the world’s tightest fiduciary constraints....more
On 8 December 2025, the GC100 published guidance to support UK companies that wish to hold virtual-only shareholder meetings — in anticipation of the government’s proposed update to the Companies Act 2006 to clarify that...more
2025 will be remembered as a year of transition for Canadian taxpayers. The newly elected federal government pivoted away from many controversial Canadian tax policies of the early 2020s, while reaffirming its commitment to...more
