Innovation in Compliance: Carole Switzer on Mastering GRC, the AI-Enabled Law Firm, and the Future of Legal Leadership
Daily Compliance News: April 14, 2026, The Annoyance Economy Edition
FCPA Compliance Report: Judicial Discretion, Sentencing Advocacy, and a Proactive Compliance Model: Joseph De Gregorio - Part 2
AI Today in 5: April 13, 2026, The AI Governance Framework Edition
Sunday Book Review: April 12, 2026, The Library of America for the Revolution Edition
AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week - April 10, 2026
2 Gurus Talk Compliance - Episode 74 - The GES Edition
AI Today in 5: April 10, 2026, The Missing Signals Edition
AI in Financial Services in 5 Stories - Week Ending April 10, 2026
Daily Compliance News: April 10, 2026, The AI & Trust Edition
Pod and Port: Podcasting, Social Media and Yacht Rock - AI, Authenticity, Instagram, and Christopher Cross
AI Today in 5: April 9, 2026, The Mythos Edition
GSK In China: 13 Years Later - Whistleblower Emails, a Sex Tape, and the Compliance Failures That Triggered a Global Bribery Probe
Daily Compliance News: April 9, 2026, The FCPA Edition
The PFBCon Podcast: Back to the Future of Podcasting: The Audio–Video Convergence with Rob Greenlee
Compliance into the Weeds: Duty Owed vs. Material Nonpublic Information: Prediction Markets and Compliance
Daily Compliance News: April 8, 2026, The Fleeing Binance Edition
Innovation in Compliance: Dr. Rohan Lall: Innovation, Clinical Evidence, and Compliance in Electrifying Spine Surgery
Daily Compliance News: April 7, 2026, The Corporate Retreat from Hell Edition
Sunday Book Review: April 5, 2026, The Top Books for Export Controls/Sanctions Edition
On April 2, 2026, the Financial Industry Regulatory Authority (“FINRA”) Investor Education Foundation (the “Foundation”) published a brief (the “Brief”) examining the demographic characteristics, investment knowledge and...more
The life sciences and healthcare sector is a prominent target for shareholder activists. In 2025 a record 255 activist campaigns were launched worldwide, surpassing the previous high of 249 set in 2018, according to research...more
Regulations under the GENIUS Act continued to advance. FinCEN and OFAC issued a joint proposed rule that would implement the GENIUS Act’s requirement that stablecoin issuers be treated as financial institutions under the Bank...more
Once I heard the news that NBA star Giannis Antetokounmpo had invested in a “prediction market,” my interest was piqued and I learned that these decentralized platforms can be used for anyone to wager on company-specific...more
Here’s one sure bet for compliance officers this spring: your oversight of insider trading risk is about to get a lot more complicated, thanks to the rise of prediction markets. Prediction markets, as you may have seen from...more
Many in the crypto space greeted the second Trump Administration with excitement. The first Trump Administration was crypto-friendly, but did not wholly overturn the existing securities framework for crypto assets. The Biden...more
On April 7, 2026, the SEC’s Division of Enforcement announced enforcement results for FY 2025, providing the first aggregate glimpse into enforcement activity under SEC Chair Atkins, sworn into office on April 21, 2025. In FY...more
On March 31, Commodity Futures Trading Commission (CFTC) Director of Enforcement David Miller gave his first speech as director. He outlined the Division of Enforcement’s five enforcement priorities and previewed a new staff...more
In our January 2026 alert, SPACs Reemerge as a Viable Path to the Public Markets, we noted that SPAC issuance had returned in a more disciplined and transparent environment shaped by the SEC's current SPAC framework and...more
The Securities and Exchange Commission’s (SEC or the Commission) Division of Trading and Markets yesterday released a Staff statement (the Statement) outlining conditions under which providers of certain crypto asset...more
The European Commission (EC) has adopted two Delegated Regulations under the Market Abuse Regulation No 596/2014 (MAR) to reflect amendments introduced by the Listing Act (Regulation (EU) 2024/2809)....more
The European Central Bank (ECB) and the European Systemic Risk Board (ESRB) have published a joint report on the usability of capital buffers. The report analyses how prudential and resolution frameworks interact, and how...more
The SEC’s Division of Trading & Markets today issued a conditional no-action position that it would not object if compliant “user interfaces” designed to facilitate the execution of crypto securities transactions operate...more
The UK Financial Conduct Authority (FCA) has published Primary Market Bulletin 62. The bulletin highlights concerns about potentially manipulative investment approaches affecting micro-cap and small-cap issuers' share prices,...more
Acting Attorney General Todd Blanche Issues Memorandum on the Creation of the National Fraud Enforcement Division - On April 7, Acting Attorney General Todd Blanche issued a memorandum regarding the new National Fraud...more
Innovation spans many areas, and compliance professionals need not only to be ready for it but also to embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the...more
Who may be interested: Registered Investment Companies; Directors of Registered Investment Companies; Investment Advisers; Hedge Funds - Quick Take: On April 7, 2026, the SEC released its annual summary of enforcement...more
The Mutual Funds (Amendment) Act, 2026 (the Mutual Funds (Amendment) Act ) and Private Funds (Amendment) Act, 2026 (the Private Funds (Amendment) Act ) (the Mutual Funds (Amendment) Act and the Private Funds (Amendment) Act...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
Cash-pay healthcare companies enjoy many regulatory freedoms that their insurance-accepting counterparts do not. However, cash-pay healthcare companies, their founders, operators, and investors, and the providers they work...more
On March 30, 2026, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its rules imposing restrictions on the purchase and sale of equity securities offered in initial public offerings (IPOs) (Rule...more
Senate Bill 284 would expand the Georgia Securities Commissioner’s authority by allowing restitution to be ordered directly through administrative proceedings. Our Securities Litigation Group outlines what this expanded...more
The prominence of prediction markets in the public eye has exploded over the last two years. Until recently, however, there has been no clear legal path for their operation in Canada. In the first of two recent developments,...more
US Financial Services and Crypto Companies Continue New Product Launches - A major global derivatives exchange recently “announced plans to expand its leading suite of regulated Cryptocurrency derivatives with the launch...more
The UK Financial Conduct Authority (FCA) has published findings from authorisation applications received from firms seeking to operate in the asset management sector, setting out examples of good and poor practice for firms....more
