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
FCPA Compliance Report: Venezuela Re-Entry: A Strategy of Watchful Waiting
Daily Compliance News: March 2, 2026, The Texas Independence Day Edition
Sunday Book Review: March 1, 2026, The Top Books on Alamo Edition
From The Editor’s Desk: Reflections from February and Insights into March for Compliance Week
AI Today in 5: February 27, 2026, The Have It Your (AI) Way at BK Edition
2 Gurus Talk Compliance - Episode 71 - The Dog Bite Edition
Daily Compliance News: February 27, 2026, The Tariff Payback Time Edition
AI Today in 5: February 26, 2026, The Use AI or Lose Your Job Edition
Daily Compliance News: February 26, 2026, The Why So Few Women CEOs Edition
On February 24, 2026, the United States Securities and Exchange Commission’s (“SEC”) Division of Enforcement (“Division”) announced significant updates to its Enforcement Manual for the first time since 2017. These updates...more
On March 6, 2026, the Securities and Exchange Commission (SEC) issued an order exempting directors and officers (D&Os) of certain foreign private issuers (FPIs) from the insider reporting requirements of Section 16(a) of the...more
On January 7, 2026, President Donald Trump issued Executive Order No. 14372, “Prioritizing the Warfighter in Defense Contracting” (EO), which targets underperforming federal contractors who, in the administration’s view,...more
On March 5, 2026, the Securities and Exchange Commission (the “SEC”) published an order granting an exemption from beneficial ownership reporting requirements under Section 16(a) of the Securities Exchange Act of 1934 (the...more
As digital assets continue to reshape the global financial landscape, regulatory frameworks balancing innovation with investor protection and market integrity are taking shape....more
Our White Collar, Government & Internal Investigations Team examines the U.S. Attorney’s Office for the Southern District of New York’s new Voluntary Self-Disclosure Program for Financial Crimes, which offers companies a...more
We are excited to share the Cooley private equity (PE) annual recap highlighting a year marked by evolving market and regulatory conditions and sustained optimism across the PE landscape....more
Recent enforcement actions by the SEC have reinforced a message that boards and senior leadership have heard before—but too often underestimate in practice: financial reporting risk is a governance risk....more
The UK Financial Conduct Authority’s (FCA’s) recent consultation papers represent a significant step in the UK’s development of a licensing and supervision regime for cryptoasset services, which is intended to come into force...more
On March 2, 2026, Bill St. Louis, FINRA’s Executive Vice President of Enforcement, published a blog post outlining significant enhancements to FINRA’s Enforcement Program. These changes are part of FINRA’s broader FINRA...more
Here’s a note that Cooley’s Courtney Thorne posted on LinkedIn yesterday: “Less than an hour ago, the SEC issued an exemptive order – Release No. 34-104931 – granting conditional relief from the Section 16(a) insider...more
The Basel Committee on Banking Supervision has published a comprehensive report analysing the rise of synthetic risk transfer ("SRT") markets, finding that synthetic risk transfer transactions have become a significant source...more
In late 2025, the Securities and Exchange Commission (SEC) charged Archer-Daniels-Midland Company (ADM) and three of its former executives with accounting and disclosure fraud, in what has become one of the most significant...more
On February 25, 2026, The Vanguard Group settled its part of the closely watched antitrust action brought by 13 Republican state Attorneys General in the Eastern District of Texas, agreeing to pay $29.5 million and make...more
Since the SEC stopped substantively responding to Rule 14a-8 no-action requests, shareholders are increasingly turning to litigation to challenge the exclusion of their proposals from company proxy materials....more
US Attorney for the Southern District of New York Jay Clayton announced a new Corporate Enforcement and Voluntary Self-Disclosure Program (SDNY CEP) for illegal activity involving fraud and misconduct affecting market...more
In February 2026, there were three Rule 2.7 announcements made across the UK public M&A market and three further possible offers announced....more
The European Securities and Markets Authority (ESMA) has published a supervisory briefing on algorithmic trading under the revised Markets in Financial Instruments Directive (MiFID II). The briefing is intended to support...more
We are delighted to bring you this year’s edition of Spotlight Magazine, “Gold Rush: The Quest for Private Capital”, where we focus on how private credit managers are adapting products, terms and structures to compete for new...more
The Investment Advisers Act of 1940 (the “Advisers Act”) is a relatively compact statute, and for many years the U.S. Securities and Exchange Commission (SEC) adopted relatively few regulations specifically targeting Advisers...more
Following the adoption of final rules to require officers and directors of foreign private issuers to comply with Section 16(a) reporting, the US Securities and Exchange Commission has issued an exemptive order granting...more
On February 12, 2026, the US Securities and Exchange Commission approved FINRA’s proposed amendment to FINRA Rule 3220 (the Gifts Rule), increasing the annual gift limit from $100 to $300 per recipient. The amendment will...more
The European Parliament's Economic and Monetary Affairs Committee (ECON) has announced it has adopted a draft report on the European Commission's (EC) Omnibus IV legislative proposal, adopted in May 2025. This proposes a...more
Effective March 18, 2026, officers and directors of foreign private issuers that have securities listed on a U.S. securities exchange or registered with the Securities and Exchange Commission (SEC) (for purposes of this...more
Hong Kong's IPO market roared in 2025. Total proceeds hit HK$280 billion - up 218% year-on-year - with HKEX reclaiming its crown as the world's top exchange in funds raised....more
