Compliance Tip of the Day: 5 Keys to Compliance Communication
Daily Compliance News: November 14, 2024 - The Matt Gaetz as AG Edition
Compliance into the Weeds: Understanding the Telefonica Venezuela FCPA Enforcement Action
Compliance Tip of the Day: Board Questions and Metrics for 3rd Party Risk Management
Great Women in Compliance: Karen Bertha - Reflections and Resilience Through a Compliance Career
Daily Compliance News: November 13, 2024 – The China Problem Edition
A Conversation with SEC Commissioner Hester Peirce
All Things Investigations – Anna Hamati on Key Lessons from the TD Bank AML Enforcement Action
Compliance Tip of the Day: CCOs Reporting to the Board
Navigating the Dark Side of Crypto: Crime, Compliance, and Consumer Protection – The Crypto Exchange Podcast
Everything Compliance, Shout Outs and Rants – Episode 145, 8 Years Later
Innovation in Compliance – Exploring Client-Side Security and PCI DSS Compliance with Rui Ribeiro
Daily Compliance News: November 12, 2024 – The Science of Corruption Edition
AI Washing: Simple Guidance to Avoid Risk
Compliance Tip of the Day: Lessons Learned From Telefónica Venezolana
Daily Compliance News: November 11, 2024 – The Veteran’s Day Edition
Adventures in Compliance – Leadership Lessons from Sherlock Holmes in The Illustrious Client
Episode 344 -- SEC Settles FCPA Case with Moog for $1.7 Million
Sunday Book Review: November 10, 2024 – The Books on Middle Manager Edition
Because That’s What Heroes Do: Deep Space 9: Episode 17 – Sacrifice of Angels: Forging New Alliances with Bonds that Defy Time and Space
On October 15, 2024, the US Court of Appeals for the Tenth Circuit affirmed the district court’s dismissal of all claims in In re Overstock Securities Litigation. In doing so, the Tenth Circuit decided an issue of first...more
Investors in closed-end funds make a commitment for the duration of a fund’s life cycle — known as the fund’s term — with liquidity available only through sale of assets, secondary transactions, or fund liquidation. Investors...more
With the US election now over, there are a host of outlets out there speculating about what the result means for the world. For our corporate governance and securities space, here are my five quick takes about what the new...more
On September 27, 2024, the SEC adopted amendments to the rules governing access to and management of its filing portal, the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. The changes seek to improve the...more
On October 21, 2024, the US Securities and Exchange Commission ("SEC") Division of Examinations ("Examination Division") announced its 2025 Examination Priorities ("Report"). Investment advisers and broker-dealers should...more
Corporate boards continue to find themselves the subject of scrutiny by plaintiffs’ attorneys alleging violations of fiduciary duties—specifically as a function of a lack of independence—after a significant board decision....more
The European Securities and Markets Authority has published a consultation on amendments to the research provisions in the revised Markets in Financial Instruments Directive following changes introduced by the Listing Act....more
On October 7, 2024, the Securities and Exchange Commission (SEC) approved a rule change proposed by The Nasdaq Stock Market LLC that impacts companies utilizing reverse stock splits to regain compliance with Nasdaq’s minimum...more
SEC adopts EDGAR Next - As outlined in this October 22 Cooley alert, the Securities and Exchange Commission (SEC) adopted final rules implementing EDGAR Next on September 27, 2024, which will change the way constituents...more
Recently, FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) issued by a large New York-based member firm with a general securities business. The AWC addressed allegations that the firm failed to collect initial...more
Non-Americans who wish to purchase U.S. stocks and other financial assets should be aware of the tax consequences of investing here. George McCormick discusses this issue and more....more
On this episode of Culture & Compliance Chronicles, Amanda Raad and Nitish Upadhyaya from Ropes & Gray’s Insights Lab, and Richard Bistrong of Front-Line Anti-Bribery, are joined by Katie Daniels, managing director and head...more
On October 21, 2024, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its annual Examination Priorities for fiscal year 2025 (the Report). The Report identifies certain...more
A Guide to the New Diligence Questions for “Outbound” U.S. Investment - In late October 2024, the U.S. Treasury Department (Treasury) issued its final rules (the Outbound Rules) implementing President Biden’s Executive...more
Private equity (PE) sponsors often provide incentives to founders, equity holders, employees, directors, and officers of portfolio companies in the form of rollover equity or incentive equity to align their interests with...more
On November 8, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced a settled enforcement action (the “SEC Order”) against Invesco Advisers, Inc. (“Invesco”), an investment advisory firm, for making misleading...more
Nasdaq Adopts Rules Modifying Delisting Process for Securities Failing to Maintain Compliance with Minimum Bid Price Requirement - As we previously reported, in August of 2024 the Nasdaq Stock Market LLC (“Nasdaq”)...more
Court of Chancery rejects claim that certificate of incorporation of a Delaware corporation requires supermajority vote for conversion to a Nevada corporation. Court holds that certificate provision requiring...more
November 13, 2024 - Assistant Secretary for Economic Policy Eric Van Nostrand gave remarks on U.S. business investment in the post-COVID expansion. November 13, 2024 - The Office of Financial Research published a brief...more
The incoming Trump administration will bring significant changes to regulatory policy as it relates to the asset management industry, and private funds, in particular...more
The recent ESMA Final Report on the Guidelines for funds’ names using ESG or sustainability-related terms (the “Guidelines”) marks a critical moment for asset managers. These Guidelines aim to clarify when the use of ESG or...more
Highlight the steady pace of filings for artificial intelligence-related securities class actions; Review a flurry of decisions from the Delaware Court of Chancery suggesting that Caremark liability requires more than...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
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to 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
Trump’s victory could mean big changes for Fintech and Crypto. With the election of Donald J. Trump as the 47th President of the United States, along with the flip of the Senate to the Republicans and, as of this writing,...more