AI Today in 5: March 13, 2026, The KYA Edition
2 Gurus Talk Compliance - Episode 72 - The Kristy in London Edition
Daily Compliance News: March 13, 2026, The Unfair Trade Practices Edition
AI Today in 5: March 12, 2026, The Attorneys and AI Edition
AI Today in 5: March 11, 2026, The AI Compliance is a People Risk Edition
Great Women in Compliance: Reflections on Investigations, Culture and the Future
Compliance into the Weeds: Carrots and Sticks in Washington: Antitrust Whistleblowers and an FCPA SOL Extension
Daily Compliance News: March 11, 2026, The Takes a Bite Edition
The PFBCon Podcast: From Mic to Millions: AI-Powered Sponsorship, Licensing & Equity Strategies for Podcasters
AI Today in 5: March 10, 2026, The Good, The Bad and The Ugly Edition
Innovation in Compliance: Jim Massey on Risk in Action
Turning Point for Digital Assets: 2025 Year in Review and What Comes Next — The Crypto Exchange Podcast
Daily Compliance News: March 10, 2026, The More ABC Laws Edition
AI Today in 5: March 9, 2026, The Dr. AI is In Edition
FCPA Compliance Report: Highlights from SCCE Europe with Gerry Zack
Daily Compliance News: March 9, 2026, The Death Carve Out for Betting Edition
Sunday Book Review: March 8, 2026, The Top Books on the End of the World Edition
AI Today in 5: March 6, 2026, The Captain Nemo Edition
Creativity and Compliance: Captain Compliance: Humor, Characters, and Creative Training at Premera Blue Cross
Daily Compliance News: March 6, 2026, The Does ChatGPT Practice Law Edition
Exit activity continues to gain momentum, based on data from S&P Capital IQ. The number of transactions in which the seller is a PE or VC sponsor reached 148 in January, the highest monthly total in the data series going back...more
On March 5, 2026, the U.S. Securities and Exchange Commission (“SEC”) issued an order (the “Order”) granting directors and officers of certain foreign private issuers (“FPIs”) an exemption from the insider reporting...more
What Happened? On February 10th, the U.S. Government Accountability Office (the GAO) published a report on nonbank mortgage servicers’ financial risk due to their growing role in the U.S. housing finance system, titled...more
On March 11, 2026, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) announced that they have entered into a new Memorandum of Understanding (“MOU”) to coordinate rulemaking,...more
The European Parliament (EP) has published a report (dated 27 February), adopted by its Economic and Monetary Affairs Committee (ECON), on the European Commission's (EC) legislative proposal for a Directive amending the...more
Background - On March 11, the SEC and the CFTC (the Agencies) announced a new MOU designed to strengthen coordination between the Agencies on regulatory matters involving overlapping jurisdictions. The MOU reflects the...more
On February 27, 2026, the SEC adopted final amendments to its rules and forms under the Exchange Act to implement the HFIA Act. As we discussed in our December 2025 alert, the HFIA Act was enacted on December 18, 2025, as...more
California’s Fair Investment Practices by Venture Capital Companies (FIPVCC) law is now in effect and imposes significant new registration and annual reporting obligations on venture capital funds and other asset management...more
On March 6, 2026, the SEC and FinCEN announced parallel enforcement actions against a New York-based registered broker-dealer for systemic anti-money laundering (“AML”) failures, imposing combined penalties of $80 million –...more
Last week, Bill St. Louis, FINRA’s Executive Vice President of FINRA’s Enforcement Department, published a blog titled “Enhancing Our Enforcement Program.”...more
This month’s geopolitical developments – including shifting tariffs, conflict in the Middle East and concerns around potential AI market disruption – have added uncertainty and volatility in these global financial markets....more
On February 27, 2026, the Securities and Exchange Commission (the SEC) adopted final rules to enact the requirements of the Holding Foreign Insiders Accountable Act (HFIA Act). These final rules, which mark a significant...more
In February 2026, the Securities and Exchange Commission (SEC) approved and the Financial Industry Regulatory Authority (FINRA) adopted amendments to FINRA Rule 3220 (Influencing of Rewarding Employees or Others),...more
In a February 26, 2026, decision, Judge Carter of the Southern District of New York denied a motion to compel arbitration filed by cryptocurrency exchange Binance, exposing the company to the risk of certification of a large...more
Knowing that the SEC’s EDGAR staff is facing a backlog to process a deluge of Form IDs – which will contribute to delinquencies in the early days for FPIs required to file their Form 3s on March 18th – Corp Fin added these...more
At the 2026 Futures Industry Association (FIA) Global Cleared Markets Conference on March 10, 2026, Securities and Exchange Commission (SEC) Chairman Paul Atkins outlined a series of initiatives aimed at improving regulatory...more
On March 12, 2026, the SEC staff issued two new FAQs related to the Holding Foreign Insiders Accountable Act (HFIA Act). The FAQs noted the HFIA Act requirements are resulting in an unusually large number of EDGAR access...more
The UK Prudential Regulation Authority (PRA) has published policy statement PS6/26 on its approach to recognised exchanges and main indices in the context of the revocation and restatement of the UK Capital Requirements...more
US Treasury Department’s public consultation may eventually lead to a streamlined CFIUS review process for certain foreign investors, but the program’s scope and ultimate benefits to investors remain uncertain...more
In 2026, public companies are facing a rapidly shifting economic, regulatory, geopolitical, and technological landscape. While these changes create meaningful opportunities, they also introduce new and often interrelated...more
Geopolitical sentiments and financial markets are intrinsically linked, and geopolitical tensions always drive heightened volatility across capital markets. Such volatility is more likely than not going to adversely affect...more
SEC and CFTC Sign Historic Memorandum of Understanding- On March 11, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) formally entered into a memorandum of understanding...more
As previously reported in our advisory, the "Holding Foreign Insiders Accountable Act" (the HFIAA) caused directors and officers of foreign private issuers (FPIs) with equity securities registered under the US Securities...more
If you are unsure whether your current systems truly meet write once, read many (WORM) requirements, you are not alone. How to achieve WORM compliance is often a top concern for those responsible for managing regulated...more
Welcome to AI Today in 5, the newest addition 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
