The PFBCon Podcast: From Mic to Millions: AI-Powered Sponsorship, Licensing & Equity Strategies for Podcasters
AI Today in 5: March 10, 2026, The Good, The Bad and The Ugly Edition
Innovation in Compliance: Jim Massey on Risk in Action
Turning Point for Digital Assets: 2025 Year in Review and What Comes Next — The Crypto Exchange Podcast
Daily Compliance News: March 10, 2026, The More ABC Laws Edition
AI Today in 5: March 9, 2026, The Dr. AI is In Edition
FCPA Compliance Report: Highlights from SCCE Europe with Gerry Zack
Daily Compliance News: March 9, 2026, The Death Carve Out for Betting Edition
Sunday Book Review: March 8, 2026, The Top Books on the End of the World Edition
AI Today in 5: March 6, 2026, The Captain Nemo Edition
Creativity and Compliance: Captain Compliance: Humor, Characters, and Creative Training at Premera Blue Cross
Daily Compliance News: March 6, 2026, The Does ChatGPT Practice Law Edition
Daily Compliance News: March 5, 2026, The DOJ and State Bars Edition
Great Women in Compliance: Resilience is a Muscle You Can Build
Compliance into the Weeds: SDNY’s New Declination Policy: Crime Categories, Cooperation, and Compliance Implications
Daily Compliance News: March 4, 2026, The Knickers in a Twist Edition
The PFBCon Podcast: Regulatory Ramblings Wins the 2025 Agora Award: Inside the Podcast Bringing Clarity to Global Financial Regulation
Innovation in Compliance: Healthcare Compliance: Fraud, Waste & Abuse, Culture, and Data-Driven Risk Management with Evan Sampson
Daily Compliance News: March 3, 2026, The Law Firms Cleared Edition
AI Today in 5: March 2, 2026, The Silent Failure at Scale Edition
Our Securities Litigation and Securities Groups examine the Delaware Supreme Court decision to uphold SB 21, which rewrote the state’s legal protections for corporations and their directors, officers, and controlling...more
The historic collapse of the now-bankrupt subprime auto dealer and auto finance company Tricolor Holdings LLC and its affiliates (“Tricolor”) has been unfolding since September 2025, after public reporting that Tricolor’s...more
An employee stock ownership plan (ESOP) is a defined contribution pension plan that invests primarily in shares of stock issued by the sponsoring employer. Though fiduciaries of pension benefit plans generally must diversify...more
The UK Financial Conduct Authority (FCA) has published a new webpage with information for cryptoasset firms that are currently using the services of an FCA-authorised firm to approve their cryptoasset financial promotions....more
On 12 December 2022, ASIC commenced civil penalty proceedings in the Federal Court against 11 current and former directors and officers of Star Entertainment Group Ltd (Star) for alleged breaches of their duties under s 180...more
The European Commission has published two Delegated Regulations in the Official Journal of the European Union (OJ): (i) Delegated Regulation (EU 2026/465), supplementing the Alternative Investment Fund Managers Directive...more
On December 18, 2025, the Holding Foreign Insiders Accountable Act (HFIAA) removed the exemption from reporting under Section 16(a) of the Securities Exchange Act of 1934 (Exchange Act), as amended, for foreign private...more
For broker-dealers and financial firms, careful recordkeeping is more than just a best practice. There are strict rules on preserving data, such as internal records and social media posts, and these rules are enforced by the...more
The Delegated Regulation, amending Delegated Regulation (EU) 2017/567 as regards equity transparency requirements under the Markets in Financial Instruments Regulation (MiFIR), has been published in the Official Journal of...more
The Italian legal framework—including the Italian securitization law No. 130 of 30 April 1999 (the "Law 130")—already permits inventory financing transactions, but few deals have been executed so far due to limited...more
The SEC’s Division of Enforcement (the Division) recently issued an updated Enforcement Manual (the Manual), its first comprehensive revision since 2017. Although the Manual serves as staff guidance rather than as a rule or...more
The UK Financial Conduct Authority (FCA) has published a new webpage setting out examples of good and poor practice for using labels under the sustainability disclosure requirements (SDR) regime. These examples are based on...more
Shadeed Eleazer, a prominent business architect, licensing strategist, and U.S. Navy veteran based in Maryland, and Host of the Conversational Currency podcast, presents “Mic to Millions” at the Podcasting for Business...more
We are often asked by clients to assist them in preparing for and holding their annual meetings of stockholders. A variety of materials, including our memorandum, Proxy Materials and Annual Meetings under Maryland Law – 2026,...more
As part of FINRA’s efforts to improve effectiveness and efficiency through its “FINRA Forward” initiative, FINRA’s Department of Enforcement recently implemented “common-sense improvements” to its program. The improvements,...more
On 2 March 2026, the European Commission published a targeted consultation on private equity exits and the possible development of multilateral intermittent trading platforms for private company shares....more
On March 5, 2026, the U.S. Securities and Exchange Commission (the “SEC”) issued an exemptive order under Section 16(a)(5) of the U.S. Securities Exchange Act of 1934 (the “Exchange Act”)....more
Accounting and auditing enforcement actions (Actions) plummeted to their lowest level in nine years in 2025, the first year of Paul Atkins’s tenure as Chair of the Securities and Exchange Commission (SEC)....more
Yesterday, Corp Fin posted a set of five FAQs related to the Section 16 obligations that commence on March 18th for insiders of foreign private issuers (those that aren’t exempt)....more
As discussed in our prior post, the Holding Foreign Insiders Accountable Act, adopted on December 18, 2025, eliminated the exemption to the Section 16(a) reporting requirements for directors and officers of foreign private...more
The UK Financial Conduct Authority (FCA) has published Handbook Notice 138, outlining amendments to the FCA Handbook resulting from the following statutory instruments:...more
Effective March 18, 2026, the Holding Foreign Insiders Accountable Act (the “HFIA Act”) ends the long-standing exemption from beneficial ownership reporting requirements for officers and directors of Foreign Private Issuers...more
On March 5, 2026, the U.S. Securities and Exchange Commission ("SEC") issued an order (the "Exemptive Order") that provides a conditional exemption from the reporting requirements of Section 16(a) of the Securities Exchange...more
On March 6, 2026, the SEC released updated Compliance and Disclosure Interpretations (CDIs) related to Rule 701, Rule 405, CIK codes, and smaller reporting company (SRC) status. Key takeaways are summarized below....more
Des développements récents concernant les litiges en valeurs mobilières au Canada témoignent d’un cadre juridique de plus en plus rigoureux. De nombreux éléments se répercutent directement sur la gouvernance des obligations...more