Episode 415: DOJ’s Massive $550 Million Tariff Evasion Settlement
Betting the Game: Entourages, Interpreters, and the People Around the Star
Creativity and Compliance: Compliance 6-Pack: Part 4 – Using “Yes, And”
Great Women in Compliance: Compliance Week 2026 Highlights with Nick Gallo
2 Gurus Talk Compliance – Episode 76 – The CW Wrap Up Edition
AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week - May 15, 2026
AI Today in 5: May 15, 2026, The Blind Spot Edition
AI in Financial Services in 5 Stories - Week Ending May 15, 2026
Daily Compliance News: May 15, 2026, The Adani Walks Free Edition
AI Today in 5: May 14, 2026, The King Charles Edition
GSK In China: 13 Years Later - Episode 9: Anti-Corruption Enforcement and the Compliance Imperative
Daily Compliance News: May 14, 2026, The Jho Low Wants a Pardon Edition
AI Today in 5: May 13, 2026, The AI and Getting Fired Edition
Compliance into the Weeds: The DOJ Trainwreck and the Rising Risk Calculus for Compliance and Self-Disclosure
Daily Compliance News: May 13, 2026, The Hair Raising Edition
The PFBCon Podcast: AI Audio Enhancement Without the Robotic Mess: Keep Your Podcast Warm, Clear, and Human with Audra Casino
AI Today in 5: May 12, 2026, The RegTech as Infrastructure Edition
Innovation in Compliance: Data Defensibility: The Compliance Foundation for AI Governance with George Tziahanas
Daily Compliance News: May 12, 2026, The TACO Don Goes to China Edition
AI Today in 5: May 11, 2026, The AI Notetakers Edition
Overview The Securities and Exchange Commission (SEC) appears poised to make a significant change to its enforcement program that could reshape how settlements are negotiated and communicated....more
On April 16, 2026, the Division of Corporation Finance for the Securities and Exchange Commission (“SEC”) issued an exemptive order (the “Order”) permitting certain equity tender offers to utilize an abbreviated offer period...more
In recent remarks on April 28, 2026 at the Small Business Capital Formation Advisory Committee, Paul S. Atkins, Chairman of the U.S. Securities and Exchange Commission (SEC), discussed the current IPO market and how the SEC’s...more
ISDA has launched the 2002 ISDA Equity Derivatives Definitions (Versionable Edition) (the "Equity Definitions VE"), replacing the static 2002 ISDA Equity Derivatives Definitions, with an industry implementation date of...more
This periodic bulletin is designed to help companies identify important legal developments governing the use and acceptance of blockchain technology, smart contracts, and digital assets....more
The SEC, under Chairman Paul Atkins, is pursuing a sweeping deregulatory agenda aimed at simplifying public company disclosure obligations, promoting capital formation, scaling requirements to company size, and refocusing the...more
On April 20, the U.S. Securities and Exchange Commission announced settled charges against a public company — Key Tronic Corp. — for books and records and internal controls violations relating to improper expense management...more
In recent weeks several well known retail-oriented “evergreen” private credit funds have received redemption requests from their investors, which exceed their share repurchase limits, leading to several concerning newsworthy...more
The Securities and Exchange Commission (SEC) has raised the dollar thresholds for “qualified client” status under Rule 205-3 of the Investment Advisers Act of 1940 (Advisers Act). The increases, which will take effect on June...more
The Securities and Exchange Commission (SEC) announced enforcement results for its fiscal year ended September 30, 2025, and this addendum of FY 2025 enforcement statistics....more
Last week, the SEC had this pop up on OIRA’s regulatory dashboard: “Rescission of Policy Regarding Denials in Settlements of Enforcement Actions.” It’s listed there as a “final rule” and not a “proposal” – so it looks like...more
Stablecoin Initiatives Launch, AI and Crypto Companies Seek Bank Charters - A major U.S. financial institution that operates the world’s largest money transfer network recently announced “the launch of USDPT, its U.S....more
What does the proposed SEC rule do? On May 5, 2026, the Securities and Exchange Commission (SEC) proposed amendments to the Exchange Act reporting regime that would, for the first time in more than 50 years, allow...more
The U.S. Securities and Exchange Commission has proposed amendments that would allow public companies to file semiannual reports instead of quarterly reports, marking a potentially significant shift in the SEC’s approach to...more
Many organizations struggle with retaining historical website content. Archiving your website is a critical step if you want to maintain an accurate record of content, communications, and legal compliance over time. Without...more
The Senate Banking, Housing, and Urban Affairs Committee held a hearing and voted 15–9 to advance H.R. 3633, the Digital Asset Market Clarity Act of 2025 (the CLARITY Act), sending the first comprehensive Senate crypto market...more
Over the course of the last six years, the UK has endured a seemingly unremitting series of geo-political and economic difficulties. On 31 January 2020 “Brexit" saw the UK formally withdraw from the EU after being a member...more
Recent developments at the United States Securities and Exchange Commission (“SEC”) reveal an agency in the midst of a significant directional shift. Following the agency’s April 2025 transition to Chairman Paul Atkins, the...more
On April 23, 2026, the Commodity Futures Trading Commission (CFTC) and the U.S. Attorney’s Office for the Southern District of New York (SDNY) brought parallel civil and criminal charges against U.S. Army Master Sergeant...more
In a May 8 speech at a digital assets conference, Fed Governor Lisa Cook discussed the opportunities and financial stability implications that tokenization presents for financial markets. Governor Cook, who chairs the Fed’s...more
The United States Securities and Exchange Commission (SEC) has issued a release (Release) for proposed rule amendments that would give companies reporting under the Securities Exchange Act of 1934 (Exchange Act) the option of...more
The European Securities and Markets Authority (ESMA) has published a final report with the results of its 2025 common supervisory action (CSA) on the compliance and internal audit functions of fund managers, conducted with...more
The European Commission (EC) has published a report assessing the adequacy of Regulation (EU) 2017/1131 on money market funds (MMFs), alongside new guidance in the form of FAQs. The EC's first 2023 MMF report concluded that...more
The Department of Justice’s $549.5 million False Claims Act settlement with Perfectus Aluminum marks one of the largest customs fraud recoveries in recent years and signals an aggressive new era of tariff enforcement. In this...more
Team #GWIC and the #GWICfam were out in full force at the 2026 Compliance Week conference in Washington, DC. Nick Gallo, a Great Gentleman in Compliance, was gracious enough (or agreed when he was “voluntold”) to be our...more
