Daily Compliance News: March 5, 2026, The DOJ and State Bars Edition
Great Women in Compliance: Resilience is a Muscle You Can Build
Compliance into the Weeds: SDNY’s New Declination Policy: Crime Categories, Cooperation, and Compliance Implications
Daily Compliance News: March 4, 2026, The Knickers in a Twist Edition
The PFBCon Podcast: Regulatory Ramblings Wins the 2025 Agora Award: Inside the Podcast Bringing Clarity to Global Financial Regulation
Innovation in Compliance: Healthcare Compliance: Fraud, Waste & Abuse, Culture, and Data-Driven Risk Management with Evan Sampson
Daily Compliance News: March 3, 2026, The Law Firms Cleared Edition
AI Today in 5: March 2, 2026, The Silent Failure at Scale Edition
FCPA Compliance Report: Venezuela Re-Entry: A Strategy of Watchful Waiting
Daily Compliance News: March 2, 2026, The Texas Independence Day Edition
Sunday Book Review: March 1, 2026, The Top Books on Alamo Edition
From The Editor’s Desk: Reflections from February and Insights into March for Compliance Week
AI Today in 5: February 27, 2026, The Have It Your (AI) Way at BK Edition
2 Gurus Talk Compliance - Episode 71 - The Dog Bite Edition
Daily Compliance News: February 27, 2026, The Tariff Payback Time Edition
AI Today in 5: February 26, 2026, The Use AI or Lose Your Job Edition
Daily Compliance News: February 26, 2026, The Why So Few Women CEOs Edition
Great Women in Compliance: Proof, Patterns & Power: The Real Art of Workplace Investigations
AI Today in 5: February 25, 2026, The Spotting AI Fakes Edition
Trading, Gambling, or Something Else? Prediction Markets and the Payments Puzzle — Payments Pros – The Payments Law Podcast
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 U.S. Securities and Exchange Commission (SEC) adopted Rule 35d-1 under the Investment Company Act of 1940 regarding Investment Company Names (the Names Rule) in 2001 to prevent fund names from being materially deceptive...more
On the same day that Donald Trump was inaugurated as president for the second time, he issued a memorandum for the heads of executive departments and agencies titled “Regulatory Freeze Pending Review.” ...more
On March 2, 2026, the Office of the Comptroller of the Currency (the "OCC") released a notice of proposed rulemaking ("NPRM") for regulations aimed at implementing the Guiding and Establishing National Innovation for U.S....more
Portability has featured in European leveraged debt markets for some time. Over 70% of sponsored high yield deals have included leveraged based portability in each year since 20231 . Whilst less frequently seen in loans,...more
The Basel Committee on Banking Supervision (BCBS) has issued a press release following its virtual meeting on 24–25 February, at which it discussed recent market developments and the global banking outlook. With respect to...more
Welcome to Horizon, DLA Piper’s monthly bulletin reporting on late-breaking legislative and policy developments in sustainability. Our aim is to scan the litigation, enforcement, and regulatory horizon to help inform business...more
The European Securities and Markets Authority (ESMA) has published its final report with draft regulatory technical standards (RTS) amending the RTS on the clearing thresholds in Delegated Regulation (EU) No 149/2013, under...more
Last week, ISS published its 2026 United States Proxy Season Preview Report, providing early indications of possible trends for the current proxy season....more
Accounting and auditing enforcement activity fell in 2025 at both the U.S. Securities and Exchange Commission (SEC) and the Public Company Accounting Oversight Board (PCAOB), according to two new Cornerstone Research reports,...more
The OCC issued a notice of proposed rulemaking (NPRM) last week to implement the GENIUS Act, enacted on July 18, 2025. The NPRM is significant, as it creates a new Part 15 to the OCC’s regulations addressing payment...more
The American Bar Association Business Law Section published a robust and in-depth white paper in September 2025 on “Digital and Digitized Assets: Federal and State Jurisdictional Issues,” providing a comprehensive explanation...more
The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have launched a joint consultation on draft revised guidelines on the suitability assessments of members of the management body and...more
Earlier this month, Benjamin Edwards, a broker-dealer firm, agreed to a censure and to pay a $750,000 fine for failing to properly supervise and preserve its employees’ business-related text messages....more
A minority stockholder asserted that certain corporate statutory amendments enacted as part of SB 21 are unconstitutional, arguing that they impermissibly divest the Court of Chancery of its equitable jurisdiction and that...more
Stock options are a valuable compensation tool in the tech sector because they can help attract talent when cash is limited, ensure incentives are tied to long-term company growth, and retain employees through time-based...more
Key developments of interest over the last month include: the UK government publishing a Payments Forward Plan setting out a regulatory roadmap for the payments sector over the next three years; the German Federal Ministries...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 boards of directors should keep top of mind. This series...more
Every few years, a new investment trend arrives with the same promise: higher returns, innovation, and the fear of being left behind. Bitcoin is the latest example, and while it may have a place in speculative portfolios, its...more
Reminder: Effective March 18, 2026, directors and officers of foreign private issuers (“FPIs”) will become subject to reporting of their beneficial ownership and subsequent changes in beneficial ownership on Forms 3, 4, and 5...more
Canada, like other major jurisdictions, has a broad range of economic and financial sanctions targeting foreign states and their nationals, as well as various terrorist organizations....more
Private credit firms are exceptionally good at what they were built to do: source, underwrite, and deploy capital with speed and precision. That capability drove the asset class from a niche strategy to the center of the...more
As business models shift and regulations adapt, boards will need to understand the opportunities and risks posed by the use of digital assets. Building on the blockchain technology that enables Bitcoin and other...more
Responding to concerns raised and longstanding debates over how the Financial Industry Regulatory Authority’s (FINRA) arbitration forum functions, on March 2, FINRA issued Regulatory Notice 26‑06, seeking public comment on...more
Following Russia’s aggression against Ukraine and consequent far-reaching bans on Russian oil and gas, there is increased reliance by the European Union (“EU”) and United Kingdom (“UK”) on imports of energy products from...more
