ACI-FCPA Conference Speaker Preview Series - Dan Kahn on the New DOJ Enforcement Priorities
Compliance Tip of the Day – Business Rationale in the 3rd Party Risk Management Process
Innovation in Compliance – Navigating the Future of Supply Chain Compliance with Travis Miller
AI Today in 5: November 18, 2025, The Project Prometheus Edition
Daily Compliance News: November 18, 2025, The UBS to America Edition
Compliance Tip of the Day - The Third-Party Risk Management Process
FCPA Compliance Report - Virna Di Palma on The Evolution of Third-Party Risk Management and the Role of AI
Daily Compliance News: November 17, 2025, The Protests Against Corruption Edition
10 For 10: Top Compliance Stories For the Week Ending, November 15, 2025
ACI-FCPA Conference Speaker Preview Series - Chuck Duross on Internal Investigation Strategies
Daily Compliance News: November 14, 2025, The Hardest Year Edition
Regulatory Ramblings: Episode 82 - Enter Dubai: Digital Dreams in the Desert with Syed Musheer Ahmed, Mark Nuttal, Jame DiBiasio, and Charles d’Haussy
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - Potential Traps for the Unwary
ACI-FCPA Conference Speaker Preview Series - Bryan Judice on Next Gen Tools for Next Gen Risks
Compliance Tip of the Day - Winnie the Pooh and Compliance Week - Piglet, the CFO and Compliance
Daily Compliance News: November 13, 2025, The Ukraine Shaken Edition
ACI-FCPA Conference Speaker Preview Series - Vince Walden on the Cutting Edge Use of Agentic AI for Compliance
Great Women in Compliance - Insights from ACI FCPA and Global Anti-Corruption Conference
Compliance into the Weeds: The Atlanta Hawks Scandal: Lessons in Financial Misconduct
Compliance Tip of the Day - Winnie the Pooh and Compliance Week - Eeyore and the Role of Corporate Legal
The Registration, Inspections and Examinations Division (“RIE”) of the Ontario Securities Commission (“OSC”) published its annual report for the 2024-2025 fiscal year (the “Report”). As in previous years, the Report...more
A bipartisan discussion draft of a bill by Sen. John Boozman (R-AR) and Sen. Cory Booker (D-NJ) proposes giving primary oversight of cryptocurrency to the Commodity Futures Trading Commission, lessening the jurisdiction of...more
In July 2023, one of the year’s most anticipated movies, the Barbie movie, premiered in theaters, achieving more than USD1 billion in global ticket sales. One potentially overlooked detail in the movie was the character Ruth,...more
In a Friday appearance on Fox Business, SEC Chairman Paul Atkins signaled that the Securities and Exchange Commission is increasingly focused on curbing the influence of proxy advisory firms. ...more
On November 17, 2025, the SEC issued a statement from the Division of Corporation Finance which announces a significant change in the Division’s involvement in the annual shareholder proposal season. ...more
The split among federal circuit courts on when the Securities and Exchange Commission (SEC) can obtain disgorgement as a remedy in civil enforcement cases has prompted a man recently convicted of engaging in a "pump and dump"...more
FUNDamentals is a periodic digest of news and information specifically for investment funds and investment advisors. In this issue, we highlight some industry trends, 401(k) access to alternative assets, fund liquidity trends...more
The SEC’s Division of Corporation Finance has issued a statement outlining its new approach to handling shareholder proposal no-action requests under Exchange Act Rule 14a8 for the 2025–2026 proxy season....more
On November 17, 2025, the Division of Corporation Finance (the “Division”) of the Securities and Exchange Commission (the “SEC”) announced it will not respond to, and will express no views on, requests for exclusions of...more
The Division of Corporation Finance (the “Division”) of the Securities and Exchange Commission (the “SEC”) released a statement today indicating that it will not respond to no-action requests by companies seeking to exclude...more
On November 17, 2025, the SEC’s Division of Corporation Finance issued a statement regarding no action letter requests related to Rule 14a-8 shareholder proposals....more
The Ontario Court of Appeal recently set aside a summons issued by an investigator of the Ontario Securities Commission (OSC), finding that the summons was “staggering in its breadth” and therefore unconstitutionally...more
The proposed Digital Asset Market Clarity Act would establish a comprehensive, top-down regulatory framework for digital assets that reflects a growing bipartisan push in Congress for clear oversight of the digital asset...more
The CFTC is refocusing efforts to balance between commission oversight and delegated chair authority...more
On November 4, 2025, Jay Clayton, the U.S. Attorney for the Southern District of New York, unsealed the indictment of Bradley Heppner, founder of Beneficient Company Group LP, a financial services startup, who has been...more
In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Dan Kahn discusses his panel at the event, “Unpacking the DOJ’s New FCPA Enforcement Guidelines and Priorities: Practical...more
In a favorable development for cryptocurrency investment, the Internal Revenue Service (IRS) issued Revenue Procedure 2025-31. The guidance provides a safe harbor under which certain publicly traded trusts may “stake” their...more
Perhaps not too surprising given the recent speech by SEC Chairman Paul Atkins that effectively cast doubt on the viability of precatory shareholder proposals if state law dictates that result and a company obtains a legal...more
On September 17, 2025, the SEC issued a policy statement to the effect that the presence of a mandatory arbitration clause in an issuer’s governing documents with respect to investor claims arising under the federal...more
In this 13-minute video, Broadridge’s Cathy Conlon discusses the retail voting programs popularized by ExxonMobil, including - 1. What are the essential steps of the ExxonMobil program?...more
Securities and Exchange Commission (SEC) Chairman Atkins recently spoke at Fordham Law School for the “25th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities, and Financial Law” as the keynote address. He publicly...more
On September 17, 2025, the SEC approved rule changes resulting in the creation of generic listing standards applicable to exchange traded products (ETPs) that hold spot commodities, including digital assets, seeking to list...more
With the government shutdown ending, federal agencies, including the CFTC and SEC, are resuming operations and making further progress on crypto-related policy. On Capitol Hill, the Senate Agriculture Committee released a...more
The Canadian Federal Budget (Budget 2025),1 released on November 4, 2025, contained several proposals of interest to companies that explore for minerals in Canada. Specifically, several of these proposals directly relate to...more
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more