10 For 10: Top Compliance Stories For the Week Ending December 13, 2025
2 Gurus Talk Compliance: Episode 65 – The This Is Nuts Edition
Compliance Tip of the Day – Ethical Deployment of AI Powered Controls
AI Today in 5: December 12, 2025, The Person of the Year Edition
Daily Compliance News: December 12, 2025, The All New York Times Edition
Regulatory Ramblings: Episode 84 - From Asset Recovery to AI Revolution: Risk, Coordination, and the Future with Sangeet Paul Choudary and Dr. Amber Phillips
Compliance Tip of the Day - What are AI Powered Internal Controls?
AI Today in 5: December 11, 2025, The FINRA and AI Edition
Daily Compliance News: December 11, 2025, The Jack Smith Opens New Law Firm Edition
Compliance into the Weeds: Live from the Floor of ACI
Great Women in Compliance - Global Corruption Prevention: A View from France
Compliance Tip of the Day – Improvement of Internal Controls
Daily Compliance News: December 10, 2025, The US Credibility Under Strain Edition
Compliance Tip of the Day - Monitoring of Internal Controls
AI Today in 5: December 9, 2025, The One AI Rule Edition
Daily Compliance News: December 9, 2025, The Lawyers, Guns and Money Edition
Sunday Book Review: December 7, 2025, The Best Books on History Edition
Compliance Tip of the Day - What Can Lead to an Internal Control Over-ride
AI Today in 5: December 8, 2025, The AI in Battling Edition
FCPA Compliance Report - Nicole Di Schino on Harnessing AI for Compliance: Governance, Risks, and Best Practices
Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance stories you need to know to end your busy week. Sit...more
The SEC's 2024 amendments to Regulation S-P introduce the most comprehensive update to federal privacy and data security standards for SEC-regulated institutions since the rule was adopted. While the amendments are directed...more
FINRA lacks subpoena power. In lieu, Rule 8210 is the backbone of its self-regulatory framework. Failure to comply or providing incomplete or untruthful responses can lead to severe sanctions, including expulsion for firms...more
The business judgment rule is a common-law principle that generally prohibits courts from questioning the propriety of actions taken by corporate directors and officers, provided those actions are taken in good faith, with...more
In October 2023, California enacted Senate Bill 54 (SB 54) to promote transparency in venture capital funding by requiring firms with a California nexus to report demographic data on the founding teams of their portfolio...more
Today, the US House of Representatives passed a bipartisan capital formation bill, H.R. 3383 or the Incentivizing New Ventures and Economic Strength Through Capital Formation (“INVEST”) Act of 2025, 302 to 123. Announced by...more
On November 26, 2025, Vice Chancellor Fioravanti issued a 75-page opinion dismissing plaintiffs’ complaint in DrugCrafters, L.P., et al. v. Loh, et al., C.A. No. 2024-0111-PAF. The action was brought by former Paratek...more
On December 3, 2025, the US Securities and Exchange Commission (SEC) announced additional temporary exemptive relief from compliance with Securities Exchange Act of 1934 (Exchange Act) Rules 13f-2 and 10c-1a....more
The U.S. Securities and Exchange Commission’s closely watched lawsuit against software maker SolarWinds (“SolarWinds” or the “Company”) and its cybersecurity chief, Tim Brown, ended with a whimper last month when the...more
Welcome to the latest edition of Fenwick’s Securities Law Update. This issue contains updates and important reminders on the following topics...more
The FCA wants to reset how firms distinguish between retail and professional clients, balancing promoting growth with consumer protection....more
The SEC’s recent policy change on issuer-investor mandatory arbitration provisions has prompted quick reactions from proxy advisors and early adopters in the market—setting the stage for renewed debate over whether companies...more
Glass Lewis has released its 2026 US Benchmark Policy Guidelines, which will apply to shareholder meetings held on or after January 1, 2026. Consistent with recent years, the updates are incremental rather than structural,...more
Wong Leung Revocable Tr. v. Amazon.com, No. 487 (Del. July 29, 2025) - In the wake of antitrust investigations and an action filed by the Federal Trade Commission (FTC), an Amazon stockholder sought books and records to...more
For two decades, Fenwick has reported on corporate governance statistics and trends among the S&P 100 and Silicon Valley’s largest public technology and life science companies, with the goal of educating public company...more
ISS and Glass Lewis recently announced their annual policy updates for the upcoming proxy season....more
On November 24, 2025, the US Department of the Treasury and the IRS issued final regulations on Section 4501, which imposes a 1% excise tax on certain repurchases of stock of publicly traded corporations and “economically...more
SERC’ling Up is your resource for staying ahead in today’s fast-evolving financial landscape. This newsletter delivers perspectives on the latest enforcement trends, regulatory updates and high-stakes developments affecting...more
Last night, the Trump Administration issued this executive order (and a related fact sheet) aimed at the proxy advisors in the US, specifically ISS and Glass Lewis. ...more
On November 17, 2025, the SEC’s Division of Examinations released its examination priorities for fiscal year 2026, identifying areas the agency alleges present heightened compliance and investor protection risks under the...more
The European Securities and Markets Authority (ESMA) has announced that it will launch a Common Supervisory Action (CSA) with national competent authorities in 2026 to review compliance with MiFID II conflicts of interest...more
ASIC has announced its enforcement priorities for 2026, with protecting small businesses, superannuation members, and improving market integrity remaining key objectives. However, new areas of focus have emerged:...more
What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s...more
On December 9, 2025, the Office of the Comptroller of the Currency (OCC) issued Interpretive Letter 1188 (IL 1188), confirming that a national bank is permitted, as part of the business of banking, to engage in riskless...more
Understanding the Risks and Realities of Post-Sale Ownership Stakes - In many private company M&A transactions, whether in healthcare, professional services, technology, construction, manufacturing, or otherwise, sellers...more