31 Days to a More Effective Compliance Program: Day 22 - Level of Due Diligence
AI Today in 5: January 22, 2026, The AI Compliance Blindspot Edition
Daily Compliance News: January 22, 2026, The Compliance Officers Fired Edition
31 Days to a More Effective Compliance Program: Day 21 - Managing Third Parties
No Password Required: CISO at RSA and Champion of a Passwordless Future
Podcast - Social Media Advertising and the FTC: Deception and the Architecture of Compliance
AI Today in 5: January 21, 2026, The 9 AI Risks Edition
Great Women in Compliance: Don’t Freak Out: Compliance from a Prosecutor-Defense Lens
Compliance into the Weeds: Addressing Retaliation Against Compliance Officers: Strategies & Insights
Daily Compliance News: January 21, 2026, The Excellence in Compliance Awards Edition
31 Days to a More Effective Compliance Program: Day 20 - Third Party Risk Management Process
AI Today in 5: January 20, 2026, The Extortion Edition
Innovation in Compliance: Transforming from Hierarchy to High Performance: Governance and AI in 2026
Daily Compliance News: January 20, 2026, The First We Kill All the Lawyers Edition
31 Days to a More Effective Compliance Program: Day 19 - Evaluating the Risk Management Process
FCPA Compliance Report: Navigating Corporate Ethics and Compliance Trends in 2026 with Mike Volkov, Part 2
31 Days to a More Effective Compliance Program: Day 18 - Risk Assessments
Sunday Book Review: January 18, 2026, The Top Books on Innovation ’26 Edition
31 Days to a More Effective Compliance Program: Day 17 - Podcasting for Compliance
31 Days to a More Effective Compliance Program: Day 16 - Effective and Tailored Compliance Training
The Canada Revenue Agency (“CRA”) has recently revised its longstanding administrative position on the GST/HST exempt-treatment of mutual fund trailing commissions. Under the new position that will be enforced as of July 1,...more
On the heels of our last client alert on bankruptcy safe-harbor case law developments, yet another court has reemphasized the breadth of the Bankruptcy Code’s safe harbors for transactions conducted under qualified financial...more
The Canadian Securities Administrators (“CSA”) have proposed amendments and changes to National Instrument 81-102 Investment Funds (“NI 81-102”) and its companion policy pertaining to the liquidity risk management (“LRM”) of...more
The new UK prospectus regime, the Public Offers and Admissions to Trading Regulations 2024 (POATRs), came into force on 19 January 2026. Whilst many aspects of the previous prospectus regime have been carried over, there are...more
On January 8, 2026, NYSE American LLC filed a proposed rule change with the SEC to amend the provisions of the NYSE American Company Guide governing initial listing standards. If approved, the amendments would represent a...more
On January 7, 2026, the president issued an Executive Order titled “Prioritizing the Warfighter in Defense Contracting” (the “Order”). The Order directs the Department of War and other agencies to take immediate and...more
The United Kingdom is bringing the regulation of crypto-related services and activities within the scope of the regime that currently applies to traditional financial services firms set out in the Financial Services and...more
This bill, which was adopted by the House of Representatives on 16 December 2025, facilitates the fully digital general meeting for NVs, BVs, associations, cooperatives and mutual insurance companies, in addition to the...more
The Financial Industry Regulatory Authority (FINRA) on January 14, 2026, filed a proposed rule change with the U.S. Securities and Exchange Commission (SEC) to adopt FINRA Rule 3290 (Outside Activities Requirements). The...more
The limited partner (‘LP') secondaries market has grown into a huge ecosystem and, alongside this expansion, the process of obtaining general partner (‘GP') consent and navigating transfer restrictions has become increasingly...more
The Federal Trade Commission (FTC) announced this year's revisions to the thresholds and filing fees under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (HSR), applying to all transactions closing on or after...more
Welcome to our Governance & Sustainability Roundup — Our regular briefing that gives a quick overview on what has recently happened in the world of governance and sustainability that may be of interest to your company, your...more
Last week, SEC Chair Paul Atkins announced that the staff would be taking a comprehensive look at Regulation S-K, which drives most of the line item disclosure requirements that apply to public companies and companies looking...more
Securities class action filings remained elevated in 2025, signaling that robust activity will likely persist into 2026. According to economic and financial consulting company Cornerstone Research, through September 30, 2025,...more
Despite geopolitical volatility, tariff policy uncertainty and a slower-than-expected M&A market in the first half of 2025, shareholder activism has not cooled. In fact, 2025 experienced another record year in the U.S. for...more
Tokenization of private equity (PE) and venture capital (VC) fund interests is rapidly gaining traction in Asia, as fund managers and service providers seek to leverage blockchain technology to enhance liquidity, broaden...more
A few days ago, the SEC issued this press release with a list of the current senior staffers in Corp Fin. Director Jim Moloney started his job a few months ago – and now he has three Deputy Directors!...more
Key Developments - The Financial Sector Conduct Authority (FSCA) has released an update on the licensing and supervision of Crypto Asset Service Providers (CASPs) under the Financial Advisory and Intermediary Services Act,...more
On January 7, President Donald Trump issued an Executive Order titled “Prioritizing the Warfighter in Defense Contracting,” aimed at reshaping how certain defense contractors allocate capital....more
For more than five decades, the SEC’s “no admit, no deny” (NAND) settlement policy has served as an important script for its enforcement program. Under Rule 202.5(e) of the SEC’s Rules of Practice, defendants and respondents...more
Under the current administration, the United States Securities and Exchange Commission (SEC) has advanced significant organizational and procedural changes in its Division of Enforcement, which will impact how investigations...more
Welcome to Dorsey’s Energy Law: Month in Review. We provide this update to our clients to identify significant developments in the previous month....more
Family offices are increasingly turning to private secondary market transactions to gain exposure to sought-after companies in technology, artificial intelligence, fintech, and other alternative investment sectors. These...more
Luxembourg’s new Law of 19 December 2025 on setting a quantitative target for gender balance among directors of listed companies (New Law) introduces binding gender balance requirements for boards of listed companies,...more
As public companies prepare for the 2026 reporting season, now is a good time to review and refresh last year’s disclosures. Key Takeaways - Public companies should anticipate significant changes in annual report...more