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Thomas Fox - Compliance Evangelist

Innovation in Compliance – Exploring the Evolving Landscape of Business Ethics and Sustainability with Alison Taylor

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

A&O Shearman

FINRA Fines Brokerage Firm $10M for Lavish Gifts and Entertainment

A&O Shearman on

FINRA Rule 2341 generally limits gifts to $100 per person per year (though FINRA recently proposed an increase to $300) and permits only occasional, non-sales conditioned business meals or entertainment.  FINRA found that the...more

Walkers

EU CryptoReg roundup: October 2025

Walkers on

Welcome to our EU crypto update - a roundup of key Irish and EU legislative and regulatory developments shaping the crypto-asset sector....more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day - Winnie the Pooh and Compliance Week - Kanga, Roo and the Compliance Champion

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more

Thomas Fox - Compliance Evangelist

AI Today in 5: November 11, 2025, The Preventing Compliance Risk Edition

Welcome to AI Today in 5, the newest edition 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

Thomas Fox - Compliance Evangelist

Daily Compliance News: November 11, 2025, The Veteran’s Day 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

Epstein Becker & Green

Outside Counsel’s Internal Investigations—Including Those Relating to Health Care—Are Privileged and Protected from Disclosure

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In Summer 2025, the U.S. Court of Appeals for the Sixth Circuit issued a strongly worded decision in In Re: FirstEnergy Corporation (No. 24-3654)—confirming the core concept that internal investigations conducted by counsel...more

Stikeman Elliott LLP

Blockchain & Cryptocurrency Regulation 2026: Canada

Stikeman Elliott LLP on

Government attitude and definition - As in many countries, the regulation of cryptocurrencies in Canada is divided among various levels of government and administrative agencies, depending on the nature of the activity...more

Thomas Fox - Compliance Evangelist

ACI-FCPA Conference Speaker Preview Series - Anik Shah on Lawyering Through These Uncertain Times

In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Anik Shah discusses his panel at the event, “Lawyering Through Uncertainty: The New Reality of Advising Clients and Making...more

Ropes & Gray LLP

European Private Equity Market Recap – Q3 2025

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Europe showed resilient buyout activity in Q3, on pace to exceed 2024. The market is moving with improved sentiment into Q4 with global sponsors—especially U.S. firms—deploying capital actively....more

Conyers

Conyers Investment Funds Report | Q3 2025

Conyers on

This edition of the Conyers Investment Funds Report provides a variety of updates and insights relevant to the investment funds space in the Cayman Islands, British Virgin Islands, and Bermuda....more

DLA Piper

Equity Lines Of Credit And At-The-Market Offerings: Alternative Public Financing Options

DLA Piper on

For public companies looking to raise capital relatively quickly and at a lower cost, equity lines of credit (ELOCs) and at-the-market equity offerings (ATMs) may be viable options. Both allow companies to control the timing...more

Goodwin

Digital Currency & Blockchain Quarterly Litigation Update - November 2025

Goodwin on

Welcome to Goodwin’s Digital Currency & Blockchain Quarterly Litigation Update, in which our Chambers-ranked global team of specialists shares highlights and key litigation and enforcement updates that are shaping the...more

A&O Shearman

SGX RegCo issues its response on its proposals for a more disclosure based regime

A&O Shearman on

With effect from October 29, 2025, Singapore Exchange Regulation (SGX RegCo) has put into place measures in response to comments on its consultation paper on “A Shift to a More Disclosure-Based Regime” (issued on May 15,...more

Paul Hastings LLP

UK Equity Capital Markets Insights — November 2025

Paul Hastings LLP on

On 15 July 2025, the UK Digitisation Taskforce (the Taskforce) published its Final Report on the proposed digitisation of the UK shareholding framework (see the August edition of this newsletter). One of the key...more

A&O Shearman

EC adopts Delegated Regulation amending RTS under Benchmark Regulation

A&O Shearman on

The European Commission has adopted a Delegated Regulation amending the regulatory technical standards (RTS) under Delegated Regulations (EU) 2018/1645 and 2018/1646, pursuant to the Benchmark Regulation (EU) 2016/1011. These...more

White & Case LLP

Navigating choppy fundraising waters: calibrating fund terms

White & Case LLP on

With private equity fundraising timeline hitting an all-time high of 19 months in 2024,1 fundraising in the current market is a daunting prospect for any private fund manager. Reviewing relevant fund terms and planning ahead...more

A&O Shearman

UK FCA provides guidance for firms offering cETNS

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published a statement outlining guidance for firms intending to offer crypto exchange-traded notes (cETNs) to retail investors, following the lifting of its ban effective from 8...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day – Winnie the Pooh and Compliance Week – Tigger and Sales Incentives

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more

Thomas Fox - Compliance Evangelist

FCPA Compliance Report - Exploring AI Adoption in Risk and Compliance with Richard Graham

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom Fox welcomes Richard Graham, Director – KYC / Financial Crime at Moody’s, to discuss the newly released AI...more

Davis Wright Tremaine LLP

Food Venture Financing News – Weekly Issue No. 260

Food Venture Financing Trends - The EVERY Company, known for its animal-free egg whites and egg white proteins, announced that it raised $55 million in its Series D financing round....more

Thomas Fox - Compliance Evangelist

AI Today in 5: November 10, 2025, The Use AI or Be Fired Edition

Welcome to AI Today in 5, the newest edition 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

Thomas Fox - Compliance Evangelist

Daily Compliance News: November 10, 2025, The More Pardons for Corruption 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

Thomas Fox - Compliance Evangelist

Sunday Book Review: November 9, 2025, The Top November Business Books Edition

In the Sunday Book Review, Tom Fox considers books that would interest compliance professionals, business executives, or anyone with a curiosity. It could be books about business, compliance, history, leadership, current...more

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending, November 8, 2025

Welcome to #10For10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings to you, the compliance professional, the compliance stories you need to...more

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