Regulatory Ramblings: Episode 83 - Hong Kong’s New Protection of Critical Infrastructures (Computer Systems) Ordinance
Everything Compliance: Episode 162, The Numbers, Numbers, Numbers Edition
Compliance Tip of the Day - M&A - Pre-Acquisition: Reviewing Financial and Operational Data
AI Today in 5: December 4, 2025, The Microsoft Blips Edition
Daily Compliance News: December 4, 2025, The End of the Pyramid Edition
Great Woman in Compliance: GWIC Joins Everything Compliance
AI Today in 5: December 3, 2025, The Code Red Edition
Compliance into the Weeds: Understanding SFO Guidance and Compliance Program Assessments
Daily Compliance News: December 3, 2025, The COI Comes to Football Edition
ACI-FCPA Conference Speaker Preview Series - Doing Business (and Compliance) in India with Joseph Azam
Everything Compliance: Shout Outs & Rants: Episode 162, Numbers, Numbers, Numbers
Compliance Tip of the Day – M&A-Pre-Acquisition: Conducting a Corruption Risk Assessment
Innovation in Compliance: Steph Holmes on Blending AI and Human Oversight for Effective Compliance
Daily Compliance News: December 2, 2025, The Tuna Bond Fraud Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What is this 40 Act?
ACI-FCPA Conference Speaker Preview Series - DOJ and FCPA Enforcement Update with David Last
Compliance Tip of the Day - M&A-Pre-Acquisition Phase: Understanding the Nature of the Problem
FCPA Compliance Report – Navigating Uncertainty: Leading with Courage and Clarity with Jim Massey
Daily Compliance News: December 1, 2025, The Fraud at Chelsea Edition
ACI-FCPA Conference Speaker Preview Series - Matthew R. Galeotti to Keynote the ACI-FCPA and Global Anti-Corruption Conference
On November 17, 2025, the SEC’s Division of Corporation Finance (the “Division”) announced how it will handle requests relating to shareholder proposals under Rule 14a-8. During the 2025-2026 proxy season (until September 30,...more
In recent years, you may have seen an apocryphal quote that says something like: “There are decades when nothing happens, and years when decades happen.” For the legal frameworks that matter to D&O litigation risk—federal...more
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 8, 2025 in order to cover such fees (with a recommendation from IARD...more
Yesterday, the Securities and Exchange Commission issued an order (the “Order”) that provides a temporary exemption from compliance with the short position and short activity reporting rule (Rule 13f-2 and Form SHO reporting)...more
In mid-November, the California Air Resources Board (CARB) held its third virtual workshop to update the public on efforts to implement California's climate disclosure laws, SB 253 and SB 261. During the November 18, 2025,...more
The spotlight chat begins with Wendy sharing why the Ordinance matters to Hong Kong and what it means for the territory’s digital regulatory landscape. She goes on to explain Invest Hong Kong’s role in raising awareness of...more
Public companies in the U.S. could soon be freed of the obligation to report financial information every quarter. The Securities and Exchange Commission (SEC) has indicated it will support shifting to a semiannual reporting...more
On October 23, 2025, the Canadian Securities Administrators (“CSA”) released a Notice of Publication and Request for Comment regarding proposed Coordinated Blanket Order 51-933 Exemptions to Permit Semi-Annual Reporting for...more
Directors of public companies are no strangers to scrutiny. Shareholders, whistleblowers, analysts, activists, unions, reporters, influencers, consumers, investigators, legislators and regulators all routinely question board...more
As the U.S. government takes multibillion-dollar stakes in private companies and steers capital in other ways unprecedented outside of wartime, should companies be worried or opportunistic?...more
On 22 November 2025, the European Commission published its long-awaited legislative proposal to ‘simplify’ the Sustainable Finance Disclosure Regulation (Draft SFDR 2.0), which will transform the existing disclosure regime...more
On November 25, 2025, Institutional Shareholder Services (ISS) announced updates to its 2026 benchmark proxy voting policies, which will be applied for shareholder meetings taking place on or after February 1, 2026....more
On November 17, 2025, the Division of Trading and Markets (the “Staff”) of the Securities and Exchange Commission (SEC) issued a no-action letter allowing a personal-services entity (PSE) to receive transaction-based...more
In a significant change to how the SEC Staff handles requests to exclude Rule 14a-8 shareholder proposals, during the 2025–2026 proxy season companies will no longer need to seek Staff no-action relief before excluding a...more
On 28 November 2025, the Financial Conduct Authority (FCA) published a policy statement (PS25/17) finalising rules proposed in its July 2025 consultation paper (CP25/20). The reforms remove the Systematic Internaliser (SI)...more
Digital assets are bought and sold globally, 24/7, can be divided into smaller and smaller ownership units, and can be transferred between buyers and sellers at low cost and with lightning speed around the world in a global...more
While timely and accurate disclosure of material cybersecurity events remains paramount, the SEC's retreat from its aggressive SolarWinds case may signal a recalibrated enforcement approach in these cases. On November 20,...more
In Revenue Procedure 2025-31 (Rev Proc), released November 10, 2025, the Internal Revenue Service (IRS) announced a safe harbor (Safe Harbor) that, if satisfied, would permit exchange-traded products (ETPs) to stake their...more
Le 13 novembre 2025, les Autorités canadiennes en valeurs mobilières (les « ACVM ») ont publié, à des fins de consultation, des projets de modification visant le Règlement 52-112 sur l’information concernant les mesures...more
On December 2, 2025, SEC Chairman Paul Atkins spoke at the New York Stock Exchange about the current state of U.S. capital markets, the challenges they face, and potential reforms to strengthen them. ...more
As discussed in more detail in Cooley’s October 10 alert, remarks by Securities and Exchange Commission (SEC) Chairman Paul Atkins suggest that Delaware-incorporated companies may be able to exclude precatory (nonbinding)...more
For years, Delaware has been the default domicile for growing late-stage companies (and most companies generally, for that matter). For the reasons detailed in these CapitalXchange posts from June 2025 and September 2025,...more
The UK Financial Conduct Authority (FCA) has published consultation paper CP25/33 outlining its proposed changes to the fees and levies framework ahead of the 2026/27 fee cycle. The consultation paper is structured as...more
The European Commission (EC) has adopted a proposal for a regulation to amend the Sustainable Finance Disclosure Regulation (SFDR). The SFDR, which has been in application since March 2021, sets detailed sustainability...more
The draft Central Securities Depositories (Amendment) (Intended Settlement Date) Regulations 2026 has been laid before the UK Parliament, accompanied by a policy note . The draft statutory instrument (SI) amends the UK...more