Daily Compliance News: December 13, 2024 - The Token Fine Edition
December 12, 2024 - The Get Out of Jail Free Card-Up Edition
Compliance Tip of the Day – Leveraging AI to Navigate Emerging Risks
All Things Investigations: FCPA Alert Week Tamara Kraljic on International Lessons Learned in 2024
Fox on Podcasting- Celebrating Excellence in Podcasting in the Domestic Arena
No Password Required Podcast: Application Pen Tester, Author, and Bug Bounty Enthusiast
All Things Investigations: FCPA Alert Week – Dan McLaughlin on Lessons Learned in 2024
Great Women in Compliance – Jacquelyn Pruet on Driving Change in Challenging Environments
Compliance into the Weeds: Potpourri of Compliance Issues
All Things Investigations: FCPA Alert Week – Mike DeBernardis on the FCPA & Anti-Bribery 2024 Alert
Fox on Podcasting – Celebrating Excellence in Podcasting in the International Arena
Compliance Tip of the Day: Leveraging AI for 3rd Party Risk Management
All Things Investigations: FCPA Alert Week – Jiaxing Hao on Understanding the Role of Multilateral Development Banks in Anti-Corruption
Innovation in Compliance – From Engineer to Business Coach: Insights on Leadership and Growth with Brad Farris
Punter Southall Law, Head to Head: Judge Seo Yoon Lee on AI & Human Rights
Compliance Tip of the Day: AI in Compliance-the Next Frontier is Here
Adventures in Compliance- Culture Lessons in ‘The Adventure of the Three Garridebs’
Daily Compliance News: December 9, 2024 - The TikTok for Sale Edition
Sunday Book Review: December 8, 2024 – The Top Business Books from 2024 Edition
Deep Space 9 – Episode 18: Waltz: A Deep Dark Dive into Madness
Welcome to Season 2 of Classroom Insiders, a podcast with Professor Karen Woody and her Insider Trading Seminar students from Washington and Lee University. They explore the arc and evolution of insider trading over the last...more
Introduction On December 10, 2024, the Securities and Exchange Commission’s Investor Advisory Committee hosted a panel to examine the use of mandatory arbitration clauses among SEC-Registered Investment Advisers. The panel...more
Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast All Things Investigation. This week, we will feature five lawyers from HHR to introduce the firm’s always popular and annual...more
On December 11, 2024, the Fifth Circuit, in a divided opinion following an en banc hearing, struck down the Nasdaq “show or tell” diversity rules. The Court concluded that the rules, some of which the majority described as a...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
Who are our greatest Presidents? What lessons can the modern-day business leader learn from our 46 Chiefs of State? Welcome to a new season of this award-winning podcast series with Tom Fox and Richard Lummis to delve into...more
Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and...more
Introduction - On 28 October 2024, the US Treasury Department issued a Final Rule implementing the Outbound Investment Program (OIP) under Executive Order 14105, which safeguards US national security by limiting investments...more
Morris, Manning & Martin, LLP’s Securities & Corporate Governance Quarterly Newsletter is designed to update public and private company clients on recent developments in federal securities laws and corporate governance...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
The Ontario Securities Commission (“OSC”) published for comment a proposed framework (the “Proposal”) to facilitate retail investment in illiquid Long-Term Assets (as defined below) through a new type of prospectus-qualified...more
EXECUTIVE SUMMARY - In this Legal Update, we provide suggestions for junior finance professionals new to the fund finance market and offer practical suggestions for beginning their careers with a solid foundation....more
The SEC did not take its foot off the pedal in fiscal year (FY) 2024 when it came to prosecuting insider trading. In the third installment of Season's Readings, we consider several recent actions in which the agency secured...more
Le Tribunal des marchés financiers de l’Ontario (le « Tribunal ») a publié les motifs qui ont motivé sa décision en juillet 2024 d’interdire les opérations à l’égard du régime de droits des actionnaires adopté par Bitfarm...more
In August 2021, the SEC approved a Nasdaq proposal for new listing rules regarding board diversity and disclosure, accompanied by a proposal to provide free access to a board recruiting service. The new listing rules adopted...more
Although political sentiment against mandatory sustainability reporting by business entities has grown in Europe (similar to the anti-ESG backlash in the United States), the European Commission (EC) has not backed down. On...more
The Markets in Financial Instruments (Equivalence) (Singapore) Regulations 2024 have been published, together with an explanatory memorandum and de minimis assessment. The Regulations set out HM Treasury's determination that...more
The differing waiver rules governing the fragile attorney-client privilege and the robust work product doctrine protection predictably create stark differences when family members communicate with each other. This type of...more
Yesterday, the U.S. Court of Appeals for the Fifth Circuit vacated the SEC’s approval of Nasdaq’s board diversity disclosure rules. While the SEC has not yet indicated if it will appeal,...more
The U.K. Financial Conduct Authority has announced that it is starting the process of appointing a bond consolidated tape (CT) provider. It has published a concession notice that sets out the FCA's next steps for running the...more
The U.K. Financial Conduct Authority has provided an update on the notification and disclosure of net short positions. Firstly, the FCA is currently undertaking its biannual review of the U.K. List of Exempted Shares, which...more
White & Case's Public Company Advisory Group has conducted a survey of publicly filed insider trading policies to assess emerging trends with respect to key insider trading policy terms. Starting with Form 10-K/20-F annual...more
The European Supervisory Authorities have published a joint statement on the application of the EU Digital Operational Resilience Act. The ESAs emphasise that as DORA does not provide for a transitional period, it is...more
The Regulation (EU) 2023/1114 on Markets in Crypto-assets (MiCAR) has further expanded the panel of regulated entities by introducing the regulatory status of Issuers of Asset Reference Tokens (ART Issuers) and crypto-asset...more
SEC charges four companies with misleading cyber disclosures - Resulting from an investigation involving public companies potentially impacted by the compromise of SolarWinds’ Orion software and other related activity,...more