31 Days to Effective Compliance Program: Day 15 - Monitoring and Improving Internal Controls
AI Today in 5: January 15, 2026, The AI for IA Edition
FCPA Compliance Report: The Role of AI and Data Analytics in Compliance: Preview of The Leading Edge with Roxanne Bras Petraeus and Andrew McBride
Daily Compliance News: January 15, 2026, The Do You Need a Second CCO Edition
31 Days to a More Effective Compliance Program: Day 14 - Internal Controls
Great Women in Compliance: When Women Speak Up: Gender, Whistleblowing and Retaliation
AI Today in 5: January 14, 2026, The Apple Folds Edition
Compliance into the Weeds: The Department of Retribution
Daily Compliance News: January 14, 2026, The Ghost of Odebrecht Edition
31 Days to a More Effective Compliance Program: Day 13 - Policies and Procedures
AI Today in 5: January 13, 2026, The Ethical AI in Africa Edition
Innovation in Compliance: The Strategic Evolution of Compliance - Insights from Angie McPhail
Daily Compliance News: January 13, 2026, The Don’t Be a FED Chair Edition
31 Days to a More Effective Compliance Program: Day 12 - The Importance and Construction of a Corporate Code of Conduct
All Things Investigations: Navigating Compliance Challenges in Venezuela’s Energy Sector
AI Today in 5: January 12, 2026, The Turning Comms into Compliance Edition
FCPA Compliance Report: Going into Venezuela, Navigating the Corruption Risks, a Conversation with Matt Ellis
Daily Compliance News: January 12, 2026, The Corruption is Free Speech Edition
31 Days to Effective Compliance Program: Day 11 - Moving Compliance Down into an Organization
Sunday Book Review: January 11, 2026, The Classic Crime Novel Homage Edition
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
On January 7, 2026, Mexico's Ministry of Finance and Public Credit (“SHCP”) announced the update to its Sovereign Sustainable Finance Reference Framework, replacing the framework originally published in 2020 and aligning it...more
While the pace of amendments and rule changes from the US Securities and Exchange Commission (SEC) slowed in 2025 with the change in presidential administration and the appointment of new SEC Chair Paul S. Atkins...more
On this Ropes & Gray podcast, partners Bil Davison and Adam Dobson are joined by counsel Kevin White to discuss recent high-profile litigation involving Energy & Minerals Group’s (EMG’s) single asset continuation vehicle...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from December 2025. ...more
On January 13, 2026, Securities and Exchange Commission Chair Atkins released a statement relating to a comprehensive review of Regulation S-K. In the Chair’s statement, he notes that he has asked the Staff of the Division...more
On December 23, 2025, the US Department of the Treasury (Treasury) released additional guidance in the form of seven additional frequently asked questions (FAQs), clarifying certain aspects of the Outbound Investment Security...more
The private fund management sector will face unprecedented regulatory change in the UK in 2026 as new rules and regulations are introduced, which are designed to promote competition and growth, whilst supporting financial...more
Buried inside the annual defense spending bill, the National Defense Authorization Act, is the “Holding Foreign Insiders Accountable Act,” which was signed into law by President Donald Trump on December 18, 2025....more
Last week, the SEC’s Division of Investment Management Director Brian Daly delivered this speech that discussed fiduciary duties and proxy voting. Here are the main points of the speech:...more
Venture and private equity funds and other investors that own equity securities of public companies may have numerous Securities and Exchange Commission (SEC) filing requirements – including filings based on the size of the...more
In 2025, many countries finalized regulations and released new guidance regarding global equity plans. Multinational companies should confirm whether their equity grant materials and plan administration align with such...more
On capital concentrating in fewer, later‑stage ‘category winners’: The surge in invested capital in Series D rounds and beyond even as deal counts fell is clearly attributable to the growth in artificial intelligence-related...more
The Staff statement provides a framework for broker-dealers seeking to maintain “physical possession” of digital asset securities, emphasizing operational security and risk mitigation....more
Buried in the defense spending bill adopted in December 2025 is a provision amending Section 16(a) to extend insider reporting obligations to certain insiders of foreign private issuers (FPIs). The provision, dubbed the...more
In an October 2025 address, SEC Chairman Paul Atkins dropped a new track on the SEC’s enforcement playlist, and due process is the headliner. Specifically, Atkins announced reforms to the Wells submission process that are...more
On December 11, 2025, the US House of Representatives, with a vote of 302 to 123, passed the Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act. The INVEST Act is now headed to the US...more
In September, the SEC retuned its approach to considering settlement offers for enforcement actions with related waiver requests. This new approach puts the SEC back on pitch with a stance it previously held from July 2019...more
Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough...more
Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In...more
Today, we have a special edition of the FCPA Compliance Report, previewing speakers and presentations at the upcoming Compliance Week event, The Leading Edge: Applying AI and Data Analytics in E&C, to be held at The Westin...more
In December 2025, the Staff of the U.S. Commodities Futures Trading Commission (“CFTC”) issued a no-action letter (the “Letter”) that effectively reinstates the former Rule 4.13(a)(4) exemption from registration as commodity...more
Investment advisers may request confidential treatment of certain information in Form ADV and other filings under the Investment Advisers Act of 1940 (Advisers Act), which currently only the Commission itself has the...more
On December 31, 2025, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) finalized a two‑year delay of the effective date for the anti-money laundering/counter-financing of terrorism (AML/CFT)...more
Under Regulation D Rule 506(c) of the Securities Act of 1933, private funds may generally solicit and advertise their offerings, but all purchasers must be verified as accredited investors before being allowed to invest. ...more
