The Chemical Show: Leadership’s Role in Compliance and Safety Culture with Tom Fox
Compliance Tip of the Day: The Importance of Having a Hotline
Everything Compliance: Shout Outs and Rants – Episode 142
SBR-Author's Podcast: Inspiring Integrity with Steve Vincze
Innovation in Compliance: Tina Grubisa on Creating a Culture of Governance with Athennian
Daily Compliance News: October 8, 2024 – The National Security Edition
Corruption, Crime & Compliance: Four Sanctions Cases That Everyone Should Know
Compliance Tip of the Day: DOJ Whistleblower Financial Incentive Program
Adventures in Compliance: Special Episode: Old Time Radio Meets The Silver Screen – Adam Graham on The Movie ‘The Adventures of Sherlock Holmes’
Daily Compliance News: October 7, 2024 – The Oops Edition
Episode 339: Four Sanctions Cases Everyone Should Know
Sunday Book Review: October 6, 2024 The books Top 2024 Sports Books Edition
10 For 10: Top Compliance Stories For The Week Ending October 5, 2024
TechLaw10: Regulatory Change for Social Media
Produce on Purpose Podcast - Protecting Data and Ensuring Compliance with Tom Fox
Compliance Tip of the Day: Leveraging Compensation to Drive Compliance
Creativity and Compliance: Engaging Compliance – From Training to Values
2 Gurus Talk Compliance: Episode 38 – The SCCE Wrap Up Edition
Daily Compliance News: October 4, 2024 – CEOs Turning to Podcasts Edition
Dan Rudoy Examines the Impact of AI on IP Strategy
Nach den ersten Schritten mit dem Zukunftsfinanzierungsgesetz („ZuFinG I„) legte das Bundesministerium der Finanzen am 27. August 2024 mit dem Entwurf eines Zweiten Gesetzes zur Finanzierung von zukunftssichernden...more
If you study the rules of the various standard-setters, a pattern emerges about their expectations for the process for developing a best interest recommendation. The DOL and SEC are consistent in that regard, while the NAIC...more
This update covers legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended June 30. Rulemaking and Guidance: • SEC Issues Third Marketing Rule Risk Alert for...more
Financial disclosure - A decade of growing transparency - Welcome to the 2024 Private Funds CFO Fees & Expenses Survey, which has been conducted biennially since 2014. The SEC’s Private Funds Rules have been...more
The SEC has increased its enforcement efforts against firms that are registered as broker-dealers and/or investment advisers for alleged violations of federal securities laws involving “off-channel communications.” Such...more
To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week...more
Recently, the SEC announced settled charges against a former chairman/CEO and director of Church & Dwight Co. Inc., for violating proxy disclosure rules by standing for election as an independent director without informing...more
On 23 September 2024, the Singapore Exchange Regulation (SGX RegCo) announced that it will begin incorporating the IFRS Sustainability Disclosure Standards (IFRS Standards) issued by the International Sustainability Standards...more
In July, the SEC posted a Nasdaq rule change proposal to “modify the application of the bid price compliance periods where a listed company takes an action to achieve compliance with the bid price requirement and that action...more
On October 2, 2024, the Commodities Futures Trading Commission (“CFTC”), the Securities and Exchange Commission (“SEC”), and the United States Attorney’s Office for the Southern District of New York announced parallel...more
Learn more about the transformative power of compliance and data in today's business landscape with guest Tom Fox, President of the Compliance Podcast Network. Host Victoria Meyer delves into the evolution of compliance...more
Recently, a company settled an SEC enforcement proceeding because a public relations firm managing the CEO’s social media accounts went rogue when it disseminated material nonpublic information. Here are a few random...more
Shares of SEC-registered closed-end funds (CEFs) have long held significant potential advantages for some investors. For example, unlike shares of mutual funds (which are open-end funds), CEF shares cannot be redeemed by the...more
On September 6, 2024, the United States Securities and Exchange Commission (the SEC) charged Esmark Inc. (“Esmark”) and its Founder/Chairman and former CEO James Bouchard under Section 14(e) of the Securities Exchange Act of...more
The U.K. Financial Conduct Authority has published a speech by Therese Chambers, FCA Joint Executive Director of Enforcement and Market Oversight, on the FCA's evolving approach to enforcement. The FCA is adapting its...more
Latin America has been the focus of considerable attention by the Biden Administration and the DOJ. Despite strong ties based on trade, shared values and democratic traditions, Latin America is being tested with new and...more
In the midst of a national election cycle, now is a good time for investment advisers to refresh their understanding on the SEC’s Pay to Play Rule (the “Rule”) and related SEC staff guidance As demonstrated by a number of...more
After two decades and three proposed rulemakings on whether investment advisers should have anti-money laundering (AML) and countering the financing of terrorism (CFT) program requirements and attempting to identify the...more
About eight years ago, I propounded the following five theses regarding the Securities and Exchange Commission's whistleblower bounty program...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
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we take up a potpourri of topics. We have the quartet of Matt Kelly, Special Guest Susan Divers, Jonathan...more
Welcome to the Sunday Book Review, the Authors Podcast! Don’t miss out on this episode of SBR-Author’s Podcast, where Tom Fox sits down with Steve Vincze, a seasoned compliance practitioner in healthcare, celebrating the...more
Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the...more
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 to the Daily Compliance News. All...more
In line with broader efforts to remove procedural deterrents from issuers engaging in securities offerings, for about the past year, the German Federal Financial Supervisory Authority (Bundesanstalt für...more
