10 For 10: Top Compliance Stories For the Week Ending, November 15, 2025
ACI-FCPA Conference Speaker Preview Series - Chuck Duross on Internal Investigation Strategies
AI Today in 5: November 14, 2025, The AI for Cyber Attacks Edition
Daily Compliance News: November 14, 2025, The Hardest Year Edition
Regulatory Ramblings: Episode 82 - Enter Dubai: Digital Dreams in the Desert with Syed Musheer Ahmed, Mark Nuttal, Jame DiBiasio, and Charles d’Haussy
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - Potential Traps for the Unwary
ACI-FCPA Conference Speaker Preview Series - Bryan Judice on Next Gen Tools for Next Gen Risks
Compliance Tip of the Day - Winnie the Pooh and Compliance Week - Piglet, the CFO and Compliance
Daily Compliance News: November 13, 2025, The Ukraine Shaken Edition
ACI-FCPA Conference Speaker Preview Series - Vince Walden on the Cutting Edge Use of Agentic AI for Compliance
Great Women in Compliance - Insights from ACI FCPA and Global Anti-Corruption Conference
Compliance into the Weeds: The Atlanta Hawks Scandal: Lessons in Financial Misconduct
Compliance Tip of the Day - Winnie the Pooh and Compliance Week - Eeyore and the Role of Corporate Legal
AI Today in 5: November 12, 2025, The FinCrime Frontier Edition
Daily Compliance News: November 12, 2025, The $200 Bet Limit Edition
ACI-FCPA Conference Speaker Preview Series - Matt Galvin on the AI and Data Analytics for Anti-Corruption Compliance Forum
Innovation in Compliance – Exploring the Evolving Landscape of Business Ethics and Sustainability with Alison Taylor
Compliance Tip of the Day - Winnie the Pooh and Compliance Week - Kanga, Roo and the Compliance Champion
AI Today in 5: November 11, 2025, The Preventing Compliance Risk Edition
Daily Compliance News: November 11, 2025, The Veteran’s Day Edition
Welcome to 10 For 10, the podcast that brings you the week’s top 10 compliance stories in one episode each week. Tom Fox, the Voice of Compliance, brings to you, the compliance professional, the compliance stories you need to...more
The GP stakes market is still in its infancy, particularly outside of the United States, but is predicted to grow and evolve. In this article, we briefly discuss the background to the market, including the different stages of...more
As reported by the Wall Street Journal, the White House is considering executive actions that would restrict the influence of proxy advisory firms and index-fund managers. According to the Wall Street Journal, the measures...more
In an era marked by geopolitical instability around the world and in light of the current economic landscape, energy security concerns, and increased defence needs and spending, the financing of energy and defence projects...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from October 2025. In October 2025: The federal government shutdown substantially impacted the US Securities...more
As the government shutdown concludes, it is expected the SEC will promptly issue an exemptive order for Dimensional Fund Advisors LP to offer open-end funds with one class of exchange-traded fund shares and one or more...more
Step into the world of high-stakes corporate intrigue with this episode of Wicked Coin, where hosts Diana Shaw and Tatiana Sainati are joined by special guest Ira Mirsky for a dive deep into the notorious Comverse Technology...more
Shareholder engagement has become a continuous, proactive process, requiring active participation from both investors and companies. This year, companies and investors have changed both their expectations and practices...more
You have a great idea, but to build the technology, you will need money… You have tapped out friends and family, you have secured co-founders, you have done a market study, you have built a demo, and you have a story to...more
On November 12, 2025, Securities and Exchange Commission ("SEC") Chairman Paul S. Atkins spoke at the Federal Reserve Bank of Philadelphia regarding the SEC's "Project Crypto" initiative, which aims to create a clear and...more
On November 13, 2025, the Division of Corporation Finance (the “Division”) of the Securities and Exchange Commission (“SEC”) issued guidance regarding its operations immediately following the government shutdown....more
The government lost the first merger challenge brought by the FTC under the second Trump administration. On November 10, 2025, Judge Jeffrey Cummings of the Northern District of Illinois denied a request for a preliminary...more
Q3 2025 is up +14% from last quarter, a sign that the market is becoming more active, driven by managed & IT services that help organizations to outsource their cybersecurity needs, which has become increasingly important as...more
Por medio de la Circular Externa 014 de 2025 la Superintendencia Financiera de Colombia (SFC) dio a conocer la normativa con la cual busca impartir instrucciones para fortalecer la liquidez de los mercados de capitales en...more
In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Chuck Duross discusses his panel at the event, “Rethinking Your Internal Investigations Playbook: Adapting Processes and Protocols...more
On September 17, 2025, the U.S. Securities and Exchange Commission (the “Commission”) published a policy statement concerning the inclusion of mandatory arbitration provisions in registration statements for investor claims...more
Stockholders submitted more proposals at Silicon Valley’s 150 largest public companies this year, but those proposals were less successful, according to our analysis of 2025 proxy season results among the SV 150 and the S&P...more
The UK Financial Conduct Authority (FCA) has published Handbook Notice 134, outlining amendments to the FCA Handbook resulting from the following statutory instruments: • (i) Markets in Financial Instruments (Transfer of...more
On November 12, 2025, the 43-day U.S. federal government shutdown ended when legislation was enacted that funds most federal agencies until January 30, 2026, and the SEC Staff returned to work on November 13, 2025. ...more
The 2025 Proxy Disclosure & 22nd Annual Executive Compensation Conferences, presented by TheCorporateCounsel.net and CompensationStandards.com, were held October 21 – 22, 2025. The conferences brought together leading experts...more
During last month’s Securities Enforcement Forum in Washington, DC, securities enforcement and white collar criminal defense attorneys highlighted an important shift of priorities happening within the Division of Enforcement...more
According to this WSJ article, the Trump administration is considering an executive order targeting proxy advisors like ISS and Glass Lewis. The proposed executive order parameters might include...more
Commission Implementing Decision (EU) 2025/2197 has been published in the Official Journal of the European Union (OJ), confirming the equivalence of New Zealand's legal and supervisory framework for financial benchmarks in...more
Senate Agriculture Committee Releases Discussion Draft of Bipartisan Market Structure Bill - On Nov. 10, the U.S. Senate Committee on Agriculture, Nutrition & Forestry (Committee) released a discussion draft of legislation...more
For executives and in-house counsel, capital‑markets access can determine whether strategic plans accelerate or stall. Reverse mergers remain a viable path to the public markets, but only for companies that understand how...more