Episode 365 -- Four Sanctions Cases Everyone Should Know
Compliance Tip of the Day: The Role of Supply Chain and Compliance in Tariffs
Innovation in Compliance: The Strength Trap: When Being the Strong One Starts Breaking You – Part 3: Mastering Stress Communication with the C.A.R.E.S. Framework
Daily Compliance News: April 17, 2025, The Musk Fights BEE's Edition
Compliance into the Weeds: The Uncertain Future of Compliance Monitors under the Trump Administration
Innovation in Compliance: The Strength Trap: When Being the Strong One Starts Breaking You – Part 2: Tactical Resilience: Mastering Stress and Self-Awareness
Compliance Tip of the Day: Essential Economic Data for Navigating Tariffs
Daily Compliance News: April 16, 2025, The Fired by AI Edition
Innovation in Compliance: The Strength Trap: When Being the Strong One Starts Breaking You – Part 1: Understanding the Hidden Costs of High-Stress Professions
Compliance Tip of the Day: Navigating Uncertainty During Trump’s Tariffs
Daily Compliance News: April 15, 2025, The Redefining Corruption Edition
Compliance Tip of the Day: Role of Compliance in Upcoming Trade Wars
No Password Required: SVP at SpyCloud Labs, Former Army Investigator, and Current Breakfast Champion
FCPA Compliance Report: AI, Data Compliance, and Ownership - A Conversation with Andrew Hopkins
Daily Compliance News: April 14, 2025, The Cascade of Corruption Edition
Episode 364 -- Five Strategies to Mitigate a New Risk Environment
Deep Space 9 – Episode 28: Analyzing the Changing Face of Evil
Sunday Book Review: April 13, 2025, The Books on Trade and Tariffs Edition
10 For 10: Top Compliance Stories For the Week Ending April 12, 2025
Compliance Tip of the Day: AI and Recruiting
Innovation comes in many areas, and compliance professionals must be ready for and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning...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 morning coffee, and listen to the Daily Compliance News. All, from the...more
The Ontario Securities Commission (“OSC”) recently published OSC Rule 81-510 Dealer Rebates of Trailing Commissions (the “Rule”), which codifies temporary exemptive relief from the order-execution only (“OEO”) trailer ban...more
The staff of the Division of Corporation Finance (Corp Fin) of the Securities and Exchange Commission (SEC) has issued new Compliance and Disclosure Interpretations (C&DIs) relating to the clawback disclosures required in an...more
The Securities and Exchange Commission’s (SEC) Small Business Capital Formation Advisory Committee (the “Committee”) will meet on May 6, 2025 to consider the market impact and challenges associated with Regulation A....more
The European Securities and Markets Authority (ESMA) has published a trends, risks and vulnerabilities (TRV) risk analysis report on ESG-related changes to fund names and their impact on investment flows. The report examines...more
U.S. Digital Asset Companies Announce New Product Launches - A major U.S. cryptocurrency exchange recently announced that certain customers can now trade “over 11,000 U.S.-listed stocks and ETFs, bringing equities and...more
With the post-election landscape still unfolding, navigating the policy and regulatory shifts underway—and assessing the potential upsides and downsides—requires boards and business leaders to be more agile, engaged, and...more
In just a few weeks, the landscape for crypto policy has continued to shift dramatically. The president signed into law the repeal of an IRS rule that would have expanded the definition of “broker” to capture DeFi protocols;...more
This chapter provides the latest legal information on the British Virgin Islands' fintech market and regulation, including regulatory jurisdiction, sandboxes, AML rules and FATF standards; robo-advisers, online lenders and...more
The application of the securities laws to digital financial assets has been fraught for lawyers and their clients. After taking a hard line that many of these assets were securities under the federal securities laws, the...more
The UK Financial Conduct Authority (FCA) has published an update on the Private Intermittent Securities and Capital Exchange System (PISCES) sandbox, following the consultation in December 2024 (CP24/29). PISCES will be a new...more
The UK Financial Conduct Authority (FCA) has announced the conclusion of its six-week policy sprint aimed at improving consumer investment decisions to support its key objective of supporting growth. With only 9% of UK...more
On April 4, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance issued a statement clarifying that reserve-backed U.S. dollar stablecoins are not securities, at least under current law and...more
The European Securities and Markets Authority (ESMA) has published a final report in relation to certain changes being made as a result of the MiFID II/MiFIR review, together with an accompanying press release. The changes...more
The Prudential Regulation Authority (PRA) has published its Business Plan 2025/26 which sets out the workplan for and regulatory initiatives to advance its strategic priorities. This year's business plan is said to reflect...more
Who may be interested: Registered Investment Companies; Registered Investment Advisers; Compliance Officers - Quick Take: The SEC announced a two-year extension to the effective and compliance dates for rule amendments...more
How prepared is your organization to handle the evolving landscape of sanctions compliance? In this episode of Corruption, Crime and Compliance, Michael Volkov dives into critical sanctions compliance cases and their...more
On the heels of other guidance issued by the US Securities Exchange Commission’s (SEC) Division of Corporation Finance (Division), the Division released a statement (Statement) on 10 April 2025 addressing its views about,...more
The Securities and Exchange Commission (SEC)’s March 27, 2025 decision (the Decision) to withdraw the defense of its landmark climate-related disclosure rules adopted in March of 2024 (the Rules) did not formally pause or...more
The Hong Kong Securities and Futures Commission (SFC) has recently unveiled a growth plan for the virtual asset (VA) industry, outlined in a five-pillar roadmap called “A-S-P-I-Re.” This roadmap consists of 12 initiatives...more
On 4 April 2025, the Securities and Exchange Commission (SEC) published Texas Stock Exchange’s (TXSE) Form 1 Application and Exhibits, indicating that the SEC intends to grant TXSE’s registration as a national securities...more
The UK’s Financial Conduct Authority has published the findings of its multi-firm review of valuation processes for private market assets. This review follows the highlighting of vulnerabilities in private markets stemming,...more
Each week of the first 100 days of the new Trump administration, we will publish updates on key federal financial services regulatory and related developments. This week, we review the following developments as of Wednesday: ...more
