No Password Required: Founder of Cybersafe Foundation and an Obama Foundation Africa Leaders Fellow, Who Is Comfortable in the API Kitchen
Business Integrity Innovations: Promoting Transparency: Bridging the Trust Deficit in Business – Odeh Friday
Daily Compliance News: October 24, 2024 – The Quid Pro Quo Edition
Compliance Tip of the Day: TD Bank Lessons Learned – New and Emerging Risks Demand Action
Great Women in Compliance: Stephanie Weldy on The Art of Behavior Design
Compliance into the Weeds: Unveiling RTX’s Costly Compliance Failures and Corporate Misconduct
Daily Compliance News: October 23, 2024 – The Fired for Multitasking Edition
All Things Investigations – Mike Huneke’s Top 5 Takeaways from The 2024 ECCP
Compliance Tip of the Day: TD Bank Lessons Learned: Putting Profits Over Compliance Will Always End Poorly
Innovation in Compliance: Monica Goyal on Tech-Driven Solutions for Law Firms
Daily Compliance News: October 22, 2024 – The Sketchy as Hell Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Laws Affect Securities Offerings?
Adventures in Compliance: Compliance Lessons from The Adventure of The Blanched Soldier
Compliance Tip of the Day: TD Bank Lessons Learned – What Does AML/BSA Enforcement Have to Do With ABC?
FCPA Compliance Report: Unlocking Financial Gains Through Proactive Compliance – Insights with Nicolas Tollet
Daily Compliance News: October 21, 2024 – The Pillow Talk Edition
Episode 341 -- DOJ Charges Visa with Monopolization and Exclusionary Conduct in the Debit Card Market
Sunday Book Review: October 20, 2024 – The top books on George Harrison Edition
10 For 10: Top Compliance Stories For The Week Ending October 19, 2024
Creativity and Compliance: Corporate Compliance Week 2024
While it is pretty likely that anyone reading this is already familiar with the Wells process, I am going to start with a short history lesson. Way back in 1972, the SEC created an Advisory Committee to take an objective look...more
Becoming a first-time director of a public company is a goal not easily achieved and can represent a significant personal and professional accomplishment, giving an individual a platform to share their expertise to help a...more
On September 4, 2024, U.S. Securities and Exchange Commission ("SEC") Chair Gary Gensler reiterated concerns about artificial intelligence-related ("AI") disclosures and the need for companies to communicate accurately about...more
The SEC recently announced disclosure settlements against four current and formerly public companies impacted by the highly publicized compromise of SolarWinds’ signature network monitoring software, Orion. The settlements...more
On 28 August 2024, the Financial Crimes Enforcement Network (FinCEN) issued its Final Rulemaking to include certain investment advisers in the definition of a “financial institution” under the Bank Secrecy Act (BSA). The...more
Confidence Staveley is the founder and CEO of Cybersafe Foundation, Africa's leading nongovernmental organization dedicated to digital development. Her mission is to ensure inclusive and safe digital access across Africa. ...more
In this program, we will focus on SEC developments affecting, and practical aspects of preparing for, public companies’ annual meetings and annual reports, including compensation, shareholder proposals and corporate...more
Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more
On September 12, 2024, the U.S. Department of Justice (“DOJ”) announced that Frank Richard Ahlgren III pleaded guilty to filing a false tax return underreporting gains from selling $3.7 million in Bitcoin. As we discussed...more
On September 25, 2024, the Securities and Exchange Commission (SEC) announced settlements with 23 entities and individuals for untimely reporting related to their respective holdings and transactions in public company stock....more
On October 21, the U.S. Securities and Exchange Commission (SEC) Division of Examinations published its 2025 Examination Priorities, outlining the main areas of interest for the Division in its examinations of regulated...more
More than a decade ago, I expressed concern about the Securities and Exchange Commission's predilection for targeting victims of crimes. That concern related to an enforcement action against a company that had been...more
The Compliance Podcast Network (CPN) and the Center for International Private Enterprise (CIPE) are bringing you Business Integrity Innovations. This podcast is inspired by Ethics 1st, a multi-stakeholder initiative led by...more
October 22, 2024- The Consumer Financial Protection Bureau finalized the Section 1033 Open Banking rule that requires financial institutions, credit card issuers, and other financial providers to unlock an individual’s...more
On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) issued its annual examination priorities for fiscal year 2025. As with its 2024 examination...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 a cup of morning coffee, and listen to the Daily Compliance News. All...more
On October 2, 2024, the U.S. Department of Justice indicted Kenneth Newcombe and Tridip Goswami, two former executives at CQC Impact Investors LLC ("CQC"), for allegedly selling fraudulent carbon offset credits to private...more
Une décision (disponible uniquement en anglais) rendue récemment par une formation d’instruction de l’Organisme canadien de réglementation des investissements (l’« OCRI ») (la « décision Carrigan ») illustre la tension qui...more
On October 7, 2024, the Securities and Exchange Commission (the SEC) approved an amendment (the Amendment) to the rules governing The Nasdaq Stock Market (Nasdaq) minimum bid price requirement. The changes resulting from the...more
Delaware corporations are not permitted to pursue profits by violating the law. Under Caremark and its progeny, directors’ fiduciary duties include the good faith obligation to oversee and monitor the corporation’s compliance...more
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. The initiatives...more
The Securities and Exchange Commission (SEC) adopted final rules and form amendments intended to improve access to and management of accounts on its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system that are...more
On October 21, 2024, the Securities and Exchange Commission’s (SEC's) Division of Examinations (the Division) released its 2025 examination priorities. This year’s examinations will prioritize perennial and emerging risk...more
FRS's Annual Examination of CME Clearing Members and CME Rule 930.K - The back-office operations, finance and compliance teams of the futures commission merchant (FCM) clearing members of the CME Clearing House mark their...more
As part of the FinTech University series, join Nelson Mullins attorneys Richard Levin, Daniel Newman, and Bobby Wenner for an in-depth webinar exploring the evolving role of the Major Questions Doctrine (MQD) and its...more
