Creativity and Compliance: Transforming Toxic Cultures
Compliance Tip of the Day: How A CEO Can Set The Tone at The Top with Town Halls
Fox on Podcasting: Enhancing Your Podcast with Megatrax: Ileana Landon’s Expert Insights
2 Gurus Talk Compliance: Episode 37 – The Florida Couple Edition
Daily Compliance News: September 20, 2024 – The 2nd Trial Edition
Compliance Tip of the Day: How A CEO Can Set The Tone at The Top with Email
Pawtastic Friends: The Paw Talk – Hercules, Angelina and Prince
The Corruption Files: Navigating Corporate Governance: The Hutchison Whampoa Scandal
From Court to Code: Smart Contracts and Arbitration
Daily Compliance News: September 19, 2024 – The Woj Retires Edition
Compliance Tip of the Day: How a CEO Can Set The ‘Tone at The Top’ – Part 3
Great Women in Compliance: Karen Woody on The Voice of Victims in Negotiated Plea Agreements
Compliance into the Weeds: Everything Old is New Again – The John Deere FCPA Enforcement Action
Daily Compliance News: September 18, 2024 – The Fireworks Coming Edition
Compliance Tip of the Day: How a CEO Can Set The ‘Tone at The Top’- Part 2
Daily Compliance News: September 17, 2024 - The $100+$106MM Edition
Innovation in Compliance: Greg Shultz on Key Traits for Compliance Professionals: Connecting and Listening
Career Can Do: Mastering Media and Networking for Career Success with Kevin Price
The Ethics Experts: Episode 182 – Olaf Casperson
Corruption, Crime and Compliance: Review of Recent DOJ Declinations
The impending expiration of the lockup agreement in the context of Trump Media & Technology Group Corp. (Nasdaq: DJT) raises some fascinating legal issues, as well as a once-in-a-lifetime case study on the market implications...more
On July 1, 2024, the Securities and Exchange Commission adopted a new registration framework for registered index-linked annuity (RILA) contracts. RILA contracts allow investors to allocate purchase payments to one or more...more
On September 4, 2024, the United States District Court for the Eastern District of Pennsylvania denied D. Allen Blankenship’s challenge to enjoin the Financial Industry Regulatory Authority’s (FINRA) disciplinary action...more
September 19, 2024- The Federal Reserve Bank of New York’s Open Market Trading Desk issued a statement announcing it intends to conduct a small value term repo operation with Primary Dealers....more
The SEC’s recent settlement with Deere & Company for $9.9 million for FCPA violations is another textbook example of bribery schemes, which revealed the absence of a culture of compliance, and the circumvention of basic...more
Welcome to the latest edition of Fenwick’s Securities Law Update. This issue contains updates and important reminders on...more
On September 9, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges against seven public companies for alleged violations of Securities Exchange Act Rule 21F-17. According to the SEC,...more
The California legislature continues to press forward with the implementation of two of the state's sweeping climate disclosure laws after a proposal to delay the implementation dates by the governor failed to be considered...more
Australia's mandatory climate-related financial disclosure regime is inching closer to implementation after the proposed legislative reforms were passed by both Houses of Parliament in September 2024. As discussed in our...more
Kalshi is a CFTC registered exchange that allows for the placing of cash bets on a variety of real-world events. Specifically, through what it calls “event contracts,” Kalshi allows users to buy positions on whether an event...more
In our recent alert Loan Origination Under AIFMD2: A Guide, on loan origination under the revised Alternative Investment Fund Managers Directive (AIFMD2), we noted that the European Securities and Markets Authority (ESMA)...more
Following the U.S. Securities and Exchange Commission ("SEC")'s adoption of the climate-related disclosure rules on March 6, 2024, dozens of parties filed petitions for review across different appellate courts. The Judicial...more
UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe....more
Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection—all require creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance,...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
Join Tom Fox as he explores the world of podcasting, and get ready to be inspired to start your own podcast. In this episode, Tom sits down with Ileana Landon from Megatrax to discuss the transformative power of licensed...more
What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s...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 to the Daily Compliance News. All...more
A perfect storm of volatile market conditions and investor demands is brewing in Japan, fostering an environment ripe for increased shareholder activism in 2025 - Global shareholder activism surged in the first half of...more
On September 4, 2024, Judge John Murphy of the U.S. District Court for the Eastern District of Pennsylvania dismissed on jurisdictional grounds the first post-Jarkesy constitutional challenge to FINRA’s disciplinary...more
Overview On May 10, 2024, the Florida Governor approved Senate Bill 532 (“SB 532”), which passed the Florida House and Senate by nearly unanimous vote (1 vote against in the Senate). SB 532 substantially revises Chapter 517,...more
On August 12, 2024, Judge David C. Godbey of the United States District Court for the Northern District of Texas denied a motion for judgment on the pleadings in an action alleging that an oil company (the “Company”) and a...more
The updates include a consultation paper on a new phase of paper listing and a joint announcement on temporary modifications to requirements for specialist technology companies and de-SPAC transactions....more
As we have previously noted, the Commodity Futures Trading Commission (CFTC) continues to face legal challenges to its regulatory approach to political event contracts. The past two weeks have seen a flurry of activity in the...more
