Trekking Through Compliance: Episode 15 – Shore Leave – Why Compliance Should be Fun
AI Today in 5: June 15, 2026, The Anthropic In Trouble Edition
FCPA Compliance Report: Data Defensibility: The Foundation of AI Readiness with George Tziahanas
Daily Compliance News: June 15, 2026 – The SBF Loses His Appeal Edition
Sunday Book Review: June 14, 2026, The Top Books on the Continental Congress Edition
AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week – June 12, 2026
Creativity and Compliance: Compliance 6-Pack: Part 5 – Truth in Comedy – Authenticity and Storytelling for More Credible Compliance
AI Today in 5: June 12, 2026, The Everyone’s a Stakeholder Edition
2 Gurus Talk Compliance: Episode 78 – A Brave New World Edition
AI in Financial Services in 5 Stories – Week Ending June 12, 2026
Back to Basics: Inside the SEC's New Enforcement Priorities — Regulatory Oversight Podcast
Daily Compliance News: June 12, 2026, The What is Anti-DEI? Edition
AI Today in 5: June 11, 2026, The OpenAI & Compliance Edition
Daily Compliance News: June 11, 2026, The DeBanking Edition
AI Today in 5: June 10, 2026, The End of Legacy Compliance Edition
Great Women in Compliance: Raising the Bar on Compliance Training
Daily Compliance News: June 10, 2026, The Integrity is Not Optional Edition
Everything Compliance: Shout Out & Rants - New Season, New Host and New Lineup
AI Today in 5: June 9, 2026, The OpenAI Files to go Public Edition
Innovation in Compliance: Rethinking SpeakUp: UX, Trust, and AI in Whistleblowing and Investigations with Tim Morss
On June 11, 2026, in a 6-3 decision authored by Justice Barrett, the Supreme Court issued its much-anticipated decision in FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd., holding that Section 47(b) of the...more
Welcome back to The Week in Weed, your Friday look at what’s happening in the world of legalized marijuana. This week, we have more news from Virginia. Trulieve lists on Wall Street. Idaho could prohibit cannabis legalization...more
Our Investment Funds Group examines recent National Futures Association amendments that provide members with additional flexibility in structuring branch office supervision while maintaining their obligation to ensure...more
After a series of industry roundtables and clear messaging from Chairman Paul S. Atkins regarding his ongoing objections following his dissent more than two decades ago, the US Securities and Exchange Commission (the SEC or...more
The Delaware Superior Court, applying Delaware law, held that a public offering exclusion does not bar coverage for a de-SPAC merger because the transaction did not constitute a public offering of the insured company’s...more
On June 4, 2026, the Supreme Court unanimously resolved a circuit split regarding the U.S. Securities and Exchange Commission’s (SEC) disgorgement power. In a victory for the SEC, the Supreme Court held in Sripetch v. SEC...more
The US Supreme Court’s landmark decision in FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd., which resolves a split among several federal circuit courts, reduces litigation risk for investment companies under...more
The SEC Division of Examinations issued a Risk Alert on June 9, 2026, providing the Division’s observations regarding advisers’ obligations relating to conflicts of interest disclosures. Specifically, the Division addresses...more
What if your best compliance training strategy is not more rules, but more imagination? In this episode of Trekking Through Compliance, we revisit the Star Trek: The Original Series episode “Shore Leave” and ask a...more
The Supreme Court agreed to hear FS Credit Opportunities Corp., et al. v. Saba Capital Master fund, et al. to resolve whether Section 47(b) of the Investment Company Act of 1940 (Act) allows private parties to bring lawsuits...more
On June 11, 2026, the Supreme Court ruled that Section 47(b) of the Investment Company Act of 1940 (ICA), which governs mutual funds and other registered investment companies, does not provide private parties with a right to...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 AI Today In 5....more
Few New Jersey cases have had a greater impact on minority shareholder oppression law than the New Jersey Supreme Court’s decision in Muellenberg v. Bikon Corp., 143 N.J. 168 (1996). The case is one of the foundational...more
FINRA confirms its rules align with Securities and Exchange Commission (SEC) no-action relief on personal services entities. In November 2025, SEC staff issued a no-action letter (NAL) providing that it would not recommend...more
On June 9, 2026, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Risk Alert”) identifying recurring deficiencies related to economic conflicts of interest observed by EXAMS staff in examinations of...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from May 2026. In May 2026: The US Securities and Exchange Commission (SEC or the Commission) rescinded its...more
On May 29, the Securities and Exchange Commission proposed to formally rescind its final rules on climate-related disclosure. The proposed rescission is just the latest development in the SEC’s climate-related disclosure...more
In this episode, Tom Fox welcomes George Tziahanas, VP of Compliance and Associate General Counsel at Archive360, who brings a practical legal and governance perspective to the challenges of AI and data governance. George...more
On June 11, 2026, the SEC took two actions that could reshape U.S. equity market structure: 1. The SEC proposed rescinding Rule 611 (the “Trade-Through Rule”) of Regulation NMS, representing the most substantial...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 in to the Daily Compliance News....more
In the Sunday Book Review, Tom Fox considers books that would interest compliance professionals, business executives, or anyone curious. It could be books about business, compliance, history, leadership, current events, or...more
On April 16, 2026, the Securities and Exchange Commission (SEC) issued an exemptive order (Order) reducing the minimum tender offer period from 20 business days to just 10 for qualifying equity offers. The Order applies to...more
In this article, the authors consider how buy- and sell-side parties to securitisation transactions can prepare for the next phase of UK reforms, as the FCA and PRA consult on a more principles‑based, flexible regime intended...more
The transaction is a landmark moment for the UK’s reformed capital markets framework....more
On May 19, 2026, President Trump issued Executive Order 14405, titled “Integrating Financial Technology Innovation Into Regulatory Frameworks.” The executive order establishes a policy of the United States to “streamline...more