Everything Compliance: The Q1- 2025, Great Women in Compliance Edition
Compliance Tip of the Day: AI and Compliance Training
Life With GDPR: Navigating CCO and CISO Liability Trends
Daily Compliance News: February 6, 2025, The Reassigned to IT Edition
FCPA Compliance Report: DeepSeek and the Sputnik Moment
Compliance Tip of the Day: Compliance and Agentic AI – Building Trust
Compliance into the Weeds: Why Compliance Officers Should Consider Public Office
Great Women in Compliance: GWIC X Everything Compliance
Daily Compliance News: February 5, 2025, The Eye on Gatekeepers Edition
Compliance Tip of the Day: How Compliance Can Leverage Agentic AI Systems
FCPA Compliance Report: DeepSeek and the Recalibration of Risk with Mike Huneke and Brent Carlson
Daily Compliance News: February 4, 2025, The Reframing not Retreating Edition
Innovation in Compliance: Financial Literacy and Smart Investing with Kris Miller
Compliance Tip of the Day: Introduction to Agentic AI for Compliance
Daily Compliance News: February 3, 2025 The Division of Engagement and Compliance Edition
Sunday Book Review: February 2, 2025 The Business Bribery in 2025, Part 2 Edition
31 Days to a More Effective Compliance Program: Day 31 – Leveraging Root Cause Analysis for Effective Compliance
Presidential Leadership Lessons: Herbert Hoover’s Rise, Part 2: The Challenges of Herbert Hoover’s Presidency
FCPA Compliance Report: Jag Lamba on Navigating Compliance Challenges in a Rapidly Changing World
Daily Compliance News: January 31, 2025 The Done with Corruption Edition
On January 8, 2025, the Securities and Exchange Commission's (SEC) Division of Investment Management (Division) issued responses to certain frequently asked questions (FAQ) to the SEC's 2023 adoption of amendments...more
February 2025 Interest Rates for GRATs, Sales to Defective Grantor Trusts, Intra-Family Loans and Split Interest Charitable Trusts - The February applicable federal rate (“AFR”) for use with a sale to a defective grantor...more
On January 20, 2025, the Commodity Futures Trading Commission ("CFTC") unanimously elected Commissioner Caroline D. Pham as acting chairman. The Administration has not yet identified who will be nominated for the position of...more
Recent amendments to Rule 35d-1 under the Investment Company Act of 1940 —commonly known as the “Names Rule” — broaden the scope of terms in fund names subject to the rule, impose enhanced disclosure and compliance...more
Changes in available financial technology are changing the way the SEC’s Division of Examinations will examine registered firms. The division’s recently released 2025 examination priorities focus on the emerging risks posed...more
On October 1, 2024, the United Kingdom Financial Conduct Authority (UK FCA) phased out ‘Zombie’ LIBOR, as a transitional benchmark, with the move to alternative “risk-free” rates....more
The role of sustainability factors in the operations and investment management activities of asset managers has long been a subject of discussion and, in some jurisdictions, controversy. In recent years, however, the...more
According to reports, more than 50 lawyers and staffers in the SEC’s Crypto Assets and Cyber Unit have been reassigned to other roles in the agency....more
Yesterday's post concerned the Delaware Supreme Court's decision that the business judgment rule applied to TripAdvisor's decision to reincorporate in Nevada. Maffei v. Palkon, 2025 WL 384054 (Del. Feb. 4, 2025). This...more
A few months ago, we had a Special Edition of Everything Compliance with the two primary hosts of the Great Women in Compliance, Lisa Fine and Hemma Lomax, together with our female panelists from Everything Compliance, Karen...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
Tom Fox and Jonathan Armstrong, renowned experts in cyber security, co-host the award-winning Life with GDPR. This episode discusses the complex topic of liability for the Chief Compliance Officer (CCO) and Chief Information...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...more
Reuters is reporting exclusively that, according to its sources, under the new Administration, some Enforcement staff at the SEC “have been told they need to seek permission from the politically appointed leadership before...more
The new year always marks the start of a busy regulatory filing season for registered investment advisers, including investment advisers that file Form PF (“Form PF Filers”). This year could be especially challenging since,...more
On February 8, 2024, the SEC adopted its third set of amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments specifically affect Sections 1 and 2...more
Yesterday, February 4, 2025, SEC Commissioner Hester Peirce shared her first policy statement since being charged with leading the Commission’s new Crypto Task Force. It will come as no surprise that her statement is nothing...more
The US Securities and Exchange Commission (SEC) adopted landmark final rules (Climate Disclosure Rules, or Rules) in March 2024 intended to enhance and standardize climate-related disclosures for publicly listed companies....more
Welcome to the Corporate Briefing, where we review the latest developments in UK corporate law that you need to know about....more
In an opinion late last month, the Delaware Supreme Court brought a close to the long-running shareholder litigation regarding Oracle’s 2016 purchase of NetSuite. The decision provides instruction for how significant minority...more
On February 2, media outlets reported that the Securities and Exchange Commission (SEC or Commission) has told SEC Enforcement attorneys that they need the approval of the agency’s commissioners for all formal orders of...more
Last month, the SEC settled charges against Celsius Holdings, Inc. for allegedly improper accounting when it modified equity compensation awards for six departing employees and retiring directors. The errors caused allegedly...more
In this issue of Wilson Sonsini's Focus on Fintech, our attorneys discuss updates and developments from federal regulators, including those related to artificial intelligence in financial markets, regulated securities...more
On May 16, 2024, the SEC adopted amendments to Regulation S-P requiring broker-dealers, registered investment companies, registered investment advisers, funding portals, and transfer agents (collectively, “covered...more
Below we answer some fundamental questions about how private funds work. This broad overview lays the groundwork for our series of private fund explainers that will dive deeper into the economics and legal structure of...more