Presidential Leadership Series: Herbert Hoover’s Rise, Part 1: From Poverty to the Presidency
31 Days to a More Effective Compliance Program: Day 24 – Internal Reporting and Triage
Creativity and Compliance: Creative Approaches to Corporate Compliance with Tyson Avery
2 Gurus Talk Compliance: Episode 44 - The Snow in Texas Edition
Daily Compliance News: January 24, 2025 The DEI Goes to War Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - Rule 506 Offerings
Business Integrity Innovations: Empowering SME’s Through Business Ethics with Fatma Elmaawy
31 Days to a More Effective Compliance Program: Day 23 - Investigative Protocols
Daily Compliance News: January 23, 2025 The Can’t Sue The Zoo Edition
31 Days to a More Effective Compliance Program: Day 22 - Levels of Due Diligence
Great Women in Compliance - The Future of the Profession
Compliance into the Weeds: The CSBS and State-Level Enforcement Actions in AML
Daily Compliance News: January 22, 2025, The All Bloomberg Edition
SBR – Author’s Podcast – Exploring the Future of Work, Ethics, and Compliance with Kelly Monahan, Part 1
Sunday Book Review: January 19, 2025, The Business Ethics from the Ancient Greeks Edition
Sunday Book Review: January 12, 2025 – The Top Business Books Coming in 2025 Edition
Great Women in Compliance: Compliance, Consistency and Agility with Lisa Beth Lentini Walker
31 Days to a More Effective Compliance Program: Day 21-Managing 3rd Parties
SBR – Author’s Podcast: Exploring the Future of Work, Ethics, and Compliance with Kelly Monahan, Part 2
Innovation in Compliance: Navigating Accounting and Compliance with Mike Whitmire
The Short Selling Regulations 2025 were made and published on legislation.gov.uk, alongside an explanatory memorandum. The regulations replace assimilated law (including the U.K. Short Selling Regulation) and establish a new...more
The Hart-Scott-Rodino (HSR) Act requires parties to transactions that meet certain thresholds to notify the Department of Justice (DOJ) and Federal Trade Commission (FTC) and observe a waiting period prior to closing unless...more
In the First Edition of our Regulatory Disputes Series, digital assets and fintech topped our list of hot topics to watch for the future of offshore regulatory disputes. In this Fourth Edition, we provide an update on...more
The Financial Services and Markets Act 2000 (Ring-fenced Bodies, Core Activities, Excluded Activities and Prohibitions) (Amendment) Order 2025 has been published alongside an explanatory memorandum. The Order amends the...more
The Financial Services and Markets Act 2000 (Designated Activities) (Supervision and Enforcement) Regulations 2025 have been published, alongside an explanatory memorandum. The Regulations amend the Financial Services and...more
The Bill regulates “Specified Stablecoins” which is defined as cryptographically secured digital representations of value which, among other things, purport to maintain a stable value with reference wholly to one or more fiat...more
Many companies are reevaluating their corporate security practices and considering enhancements to the security protections they provide to their executives and other senior leaders. Companies exploring such security...more
This publication provides an overview of the top trending issues as we approach this year’s AGM and reporting season. We highlight key legal and regulatory developments impacting AGM and annual reporting practices....more
The Financial Conduct Authority (FCA) is currently consulting on a proposal for a new type of trading platform (PISCES) that would enable intermittent secondary trading of private company shares. PISCES would use certain...more
On January 23, 2025, barely 72 hours after the appointment of Mark Uyeda as the Acting Chairman of the U.S. Securities and Exchange Commission, and less than 48 hours after Chairman Uyeda announced that Commissioner Hester...more
On January 10, 2025, the U.S. District Court for the Northern District of Texas issued an opinion in Spence v. Am. Airlines, Inc. (N.D. Tex. Jan. 10, 2025) holding that fiduciaries of two American Airlines 401(k) plans...more
On Jan. 13, 2025, a unanimous panel of the U.S. Court of Appeals for the Third Circuit held that the Securities and Exchange Commission (SEC or the Commission) violated the Administrative Procedure Act (APA) when it offered...more
As I get older, my motto has been “less is more.” That certainly works for a mindful lifestyle. And it also works for pickleball, as one learns to hit the ball softly and place it cleanly rather than banging away at it to...more
After years of regulatory uncertainty, the highly anticipated federal government changes in support of digital assets are beginning to take shape under President Trump. This week brought two big announcements – an Executive...more
In October last year, the NYSE proposed, like Nasdaq, to take on the challenge of repeated reverse stock splits by limiting the circumstances under which a listed company could use a reverse stock split to regain compliance...more
Who are our greatest Presidents? What lessons can the modern-day business leader learn from our 47 Chiefs of State? Welcome to a new season of this award-winning podcast series with Tom Fox and Richard Lummis to delve into...more
Enforcement during Gensler administration was considerably higher than during the previous administration. The Securities and Exchange Commission (SEC) brought 33 cryptocurrency-related enforcement actions in 2024, the...more
This Client Alert provides an overview of new developments and highlights key considerations for calendar year-end public companies preparing their Annual Reports on Form 10-K for 2024 and proxy statements for annual meetings...more
On January 16, the Department of Labor released long-awaited guidance on how to determine the value of employer stock in purchase and sale transactions involving an ESOP. Unfortunately for those in the ESOP community hoping...more
On January 2, 2025, the Securities and Exchange Commission (SEC) approved the FINRA Rule 6500 Series (the SLATE Rules), which establishes the Securities Lending and Transparency Engine (SLATE), a new facility for the...more
HM Treasury published the Government's response to its call for evidence on the pension fund clearing exemption, which exempts pension funds from the requirement to clear certain derivative contracts via a central...more
This is the second in our 2025 Year in Preview series examining important trends in white collar law and investigations in the coming year. We will be posting further installments in the series throughout the next several...more
On 14 May 2024, ESMA published its guidelines on funds’ names using ESG or sustainability-related terms (the Guidelines). The Guidelines have applied since 21 November 2024. Funds in existence before 21 November 2024 have...more
On 15 January 2025, K2 Integrity hosted a webinar that featured Justina Rousseau, senior managing director at K2 Integrity; Aseel Rabie, counsel at Debevoise & Plimpton LLP; and Sarah Runge, executive managing director at K2...more
Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom Fox will post a key part of a best practices...more
