AI Today in 5: March 12, 2026, The Attorneys and AI Edition
Daily Compliance News: March 12, 2026, The All Corruption 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
Daily Compliance News: March 5, 2026, The DOJ and State Bars Edition
Great Women in Compliance: Resilience is a Muscle You Can Build
The Holding Foreign Insiders Accountable Act ("HFIAA"), which becomes effective on March 18, 2026, removes the historically available exemption from the reporting requirements of Section 16(a) of the Exchange Act ("Section...more
In back-to-back speeches at the Futures Industry Association conference, Commodity Futures Trading Commission Chair Selig and Securities and Exchange Commission Chair Atkins set out their views regarding facilitating...more
On March 6, 2026, the Securities and Exchange Commission’s Division of Corporation Finance published another series of updated and new Compliance and Disclosure Interpretations (“CDIs”), this time focusing on portions of...more
he Bank of England (BoE) has published a consultation paper proposing a new statement of policy (SoP) that will establish the BoE's approach to using its permissions and requirements powers to facilitate a discretionary...more
In this episode of the Above Board podcast, hosts Scott Lesmes and Haima Marlier are joined by Morrison Foerster Securities Litigation partners Jamie Levitt and Ryan Keats to discuss what public companies can expect in...more
The UK Financial Conduct Authority (FCA) has published its regulatory priorities report for the consumer investments sector, setting out key priorities for the year ahead. The report is for advisers, wealth managers,...more
Each week for the next 10 weeks, we will publish an installment of our Red Flags Everywhere! series, highlighting key risk areas that public companies and their board of directors should keep top of mind. This series...more
In the preliminary proxy statement for its 2026 annual meeting of shareholders, Exxon Mobil Corp (“Exxon”) proposes that shareholders approve a plan to reincorporate the company in Texas, which would end its 144-year legal...more
As the family office principal, you likely do not live in the weeds of fund documents. However, you do need clarity on the handful of issues that most directly affect your wealth, influence, and legacy....more
Small Business Investment Company (SBIC) funds play an increasingly prominent role in middle‑market private equity transactions. As deal structures evolve and market conditions place a premium on certainty of closing, SBICs...more
Consider whether extension rights are reasonable. Is it possible to tie any extension of the fund term to a reduced management fee, or require that a near-term exit plan for remaining assets be delivered to investors if the...more
One early 2025 survey reported that about a third of family offices intended to increase their allocations to private credit during 2025 and 2026 – the highest among alternative asset classes....more
The PCAOB finalized 37 enforcement actions (Total Actions) during 2025—a decrease of 27% from 2024 and the lowest number since 2021. Actions involving the performance of an audit (Auditing Actions) totaled 33, an 18% decrease...more
On March 5, 2026, the Securities and Exchange Commission (SEC) issued an order exercising its authority under Section 16(a)(5) of the Exchange Act – added by the Holding Foreign Insiders Accountable Act (HFIA Act) – which...more
Family offices may from time to time be presented with opportunities to invest in venture capital funds. Although venture capital and private equity funds traditionally share the same broad closed-end fund architecture, they...more
For sophisticated investors, including family office principals and executives, investing in private funds requires more than a red flag review of the governing agreement and a completed subscription agreement....more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from February 2026. As covered in our recent LawFlash, on February 24, 2026, the SEC announced that it had...more
Reports suggest that most family offices allocate capital to alternative assets, with a good portion of that capital flowing into hedge funds. As compared to other private fund categories, hedge funds offer investors relative...more
As I blogged a while back, the SEC is prioritizing a rulemaking to make quarterly reporting optional in favor of a semi-annual reporting regime. This Cooley Alert – penned by Ali Murata and Michael Bergmann – notes that one...more
When Steven Baum joined Block & Order, he made a counterintuitive observation about digital assets: crypto is not hard to audit because it is opaque. In many cases, it is hard to audit because visibility alone does not answer...more
On March 2, 2026, Judge Katherine Polk Failla of the U.S. District Court for the Southern District of New York dismissed a putative class-action complaint against the creator of a decentralized cryptocurrency exchange and its...more
In early 2026, the US Securities and Exchange Commission (the "SEC") released new and updated Compliance and Disclosure Interpretations ("CDIs") that address business combinations, tender offers and shareholder meetings and...more
The European Commission (EC) has issued a call for technical advice to the European Supervisory Authorities (comprising the European Banking Authority, European Insurance and Occupational Pensions Authority and European...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
The SEC staff has continued to update, refine, and supplement the staff’s longstanding Compliance and Disclosure Interpretations (CD&Is) at a rapid pace to reflect the SEC’s current priorities. Earlier this year, the SEC...more
