Daily Compliance News: December 15, 2025, The End of the FCA? Edition
Sunday Book Review: December 14, 2025, The Best Books on Business Edition
10 For 10: Top Compliance Stories For the Week Ending December 13, 2025
2 Gurus Talk Compliance: Episode 65 – The This Is Nuts Edition
Compliance Tip of the Day – Ethical Deployment of AI Powered Controls
AI Today in 5: December 12, 2025, The Person of the Year Edition
Daily Compliance News: December 12, 2025, The All New York Times Edition
Regulatory Ramblings: Episode 84 - From Asset Recovery to AI Revolution: Risk, Coordination, and the Future with Sangeet Paul Choudary and Dr. Amber Phillips
Compliance Tip of the Day - What are AI Powered Internal Controls?
AI Today in 5: December 11, 2025, The FINRA and AI Edition
Daily Compliance News: December 11, 2025, The Jack Smith Opens New Law Firm Edition
Compliance into the Weeds: Live from the Floor of ACI
Great Women in Compliance - Global Corruption Prevention: A View from France
Compliance Tip of the Day – Improvement of Internal Controls
Daily Compliance News: December 10, 2025, The US Credibility Under Strain Edition
Compliance Tip of the Day - Monitoring of Internal Controls
AI Today in 5: December 9, 2025, The One AI Rule Edition
Daily Compliance News: December 9, 2025, The Lawyers, Guns and Money Edition
Sunday Book Review: December 7, 2025, The Best Books on History Edition
Compliance Tip of the Day - What Can Lead to an Internal Control Over-ride
Welcome to AI Today in 5, the newest edition 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
On 8 December 2025, the FCA published a consultation paper (CP) on client categorisation and conflicts of interest. This consultation will be of particular interest to wealth managers and investment firms, as it may enable...more
On December 11, 2025, President Donald J. Trump signed an executive order titled “Protecting American Investors from Foreign-Owned and Politically-Motivated Proxy Advisors.”...more
On November 19, 2025, Singapore Exchange ("SGX") and Nasdaq announced a proposed "Global Listing Board" framework enabling companies to file a single prospectus acceptable to both Singapore and U.S. regulators....more
Recently, I blogged about how Glass Lewis released its Benchmark Policy changes for 2026, which are included in this 90-page document. Here’s a Cooley Alert penned by Cooley’s Brad Goldberg, Beth Sasfai, Ali Murata, Michael...more
On December 11, 2025, President Donald Trump issued an Executive Order mandating a number of regulatory actions aimed at curtailing the influence of proxy advisors over U.S. public companies, particularly their influence over...more
Payments and Digital Assets Companies Announce Stablecoin Initiatives - A leading global payments network and a stablecoin infrastructure platform recently announced a partnership focused on cross-border stablecoin-based...more
ISS has released its benchmark policy changes for 2026. The changes largely adopt ISS’s previously proposed policy changes. The new policies will generally apply to shareholder meetings held on or after February 1, 2026....more
The Israel Securities Authority published a new staff position recently on the regulation of advertising in digital space (including on social networks), focusing on advertising relating to mutual funds. The staff position...more
Directs the Securities and Exchange Commission (SEC), Federal Trade Commission (FTC), Department of Justice (DOJ), and Department of Labor (DOL) to increase oversight of foreign-owned proxy advisory firms that influence...more
On November 18, the United States Court of Appeals for the Ninth Circuit granted a partial injunction blocking enforcement of California’s climate-related financial risk disclosure law (SB 261). Inaugural reports under SB 261...more
It’s that time again for investment advisers, broker-dealers, fund managers and other financial professionals to prepare for the U.S. Securities and Exchange Commission’s (SEC) continued focus on certain topics in...more
Welcome to your weekly update from the A&O Shearman Pensions team, covering all the latest legal and regulatory developments in the world of workplace pensions....more
Since the U.S. House of Representatives passed the Clarity Act on July 17, the U.S. Senate Committee on Banking, Housing and Urban Affairs, which has oversight of the U.S. Securities and Exchange Commission, has been busy...more
The U.S. Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance announced on Nov. 17, 2025, that it will not issue Exchange Act Rule 14a-8 no-action letters to companies seeking to exclude shareholder...more
On December 9, 2025, the Financial Industry Regulatory Authority (FINRA) published its 2026 Annual Regulatory Oversight Report (2026 Report). While FINRA scarcely mentioned artificial intelligence (AI) in its 2025 Annual...more
Canada–UAE investment ties are entering a period of accelerated expansion, underscored by the recent Canada–UAE Investment Summit in Abu Dhabi in November 2025, where Prime Minister Carney from Canada, along with senior...more
The Commodity Futures Trading Commission (CFTC) has adopted significant amendments to its Wells process—expanding timelines, increasing transparency, and bringing its procedures into closer alignment with recent reforms by...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
The European Securities Markets Authority (ESMA) has issued a statement on the discretionary transitional regime for cryptoasset service providers (CASPs) that offered their services in accordance with applicable law prior to...more
The European Commission (EC) has published a Communication to the European Parliament, the European Council, the Council, the European Central Bank, the European Economic and Social Committee and the Committee of the Regions...more
The Bank of England (BoE) has launched its second system-wide exploratory scenario (SWES) exercise, this time focused on the private markets ecosystem. It will be run in collaboration with a group of banks and NBFIs active in...more
On December 11, 2025, President Trump issued an Executive Order titled “Protecting American Investors from Foreign-Owned and Politically-Motivated Proxy Advisors” (the “Order”), which directs the Securities and Exchange...more
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice for navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
Legislation that will subject non-US companies that publicly report in the U.S. to short-swing profits liability rules under Section 16 of the Exchange Act is embedded in the annual defense funding bill that has passed in the...more