31 Days to a More Effective Compliance Program: Day 21 - Managing Third Parties
No Password Required: CISO at RSA and Champion of a Passwordless Future
Podcast - Social Media Advertising and the FTC: Deception and the Architecture of Compliance
AI Today in 5: January 21, 2026, The 9 AI Risks Edition
Great Women in Compliance: Don’t Freak Out: Compliance from a Prosecutor-Defense Lens
Compliance into the Weeds: Addressing Retaliation Against Compliance Officers: Strategies & Insights
Daily Compliance News: January 21, 2026, The Excellence in Compliance Awards Edition
31 Days to a More Effective Compliance Program: Day 20 - Third Party Risk Management Process
AI Today in 5: January 20, 2026, The Extortion Edition
Innovation in Compliance: Transforming from Hierarchy to High Performance: Governance and AI in 2026
Daily Compliance News: January 20, 2026, The First We Kill All the Lawyers Edition
31 Days to a More Effective Compliance Program: Day 19 - Evaluating the Risk Management Process
FCPA Compliance Report: Navigating Corporate Ethics and Compliance Trends in 2026 with Mike Volkov, Part 2
31 Days to a More Effective Compliance Program: Day 18 - Risk Assessments
Sunday Book Review: January 18, 2026, The Top Books on Innovation ’26 Edition
31 Days to a More Effective Compliance Program: Day 17 - Podcasting for Compliance
31 Days to a More Effective Compliance Program: Day 16 - Effective and Tailored Compliance Training
2 Gurus Talk Compliance: Episode 68 - The Corruption is Free Speech Edition
AI Today in 5: January 16, 2026, The More Chatbots in Recruiting Edition
Daily Compliance News: January 16, 2026, The Another Basketball Point-Shaving Scandal Edition
On 9 January the Financial Services Regulation Committee of the UK Parliament’s House of Lords published its report on “Private markets: Unknown unknowns” (the Report)....more
Key Financial Regulatory Developments - 2025 brought one of the most dynamic financial regulatory environments since the immediate aftermath of Dodd‑Frank, marked by shifting agency priorities, rapid litigation...more
On December 8, 2025, in an opinion that will have lasting impacts on the leveraged finance and restructuring markets, the United States District Court for the Southern District of Texas (Crane, J.) (the “District Court”)...more
On January 7, 2026, the Securities and Exchange Commission (“SEC”) proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small...more
The Court of Appeal’s judgement in Various Claimants v. Standard Chartered plc is a significant decision on whether an English court may compel disclosure of documents that are confidential under foreign regulatory regimes –...more
Digital asset treasuries (DATs) — public companies established to hold cryptocurrencies as reserve assets on their balance sheets, and companies that have repositioned themselves for that purpose — have become increasingly...more
The Stock Exchange of Hong Kong Limited (Exchange) has taken a number of initiatives to enhance its attractiveness as a global offering and listing jurisdiction....more
Under the leadership of Chairman Paul Atkins with a Republican majority on the commission, the Securities and Exchange Commission (SEC) is expected to continue on its trajectory toward regulatory reform that marks a pivot...more
On January 7, the SEC proposed amendments to its rules defining which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the federal Regulatory...more
The Financial Industry Regulatory Authority, Inc. (“FINRA”) has proposed a new rule (the “Proposal”) that would consolidate and modernize its rules governing outside business activities and private securities transactions by...more
The global slowdown in recent years of sales processes and initial public offerings (IPOs) has delayed exits for many private equity (PE) sponsors, causing mounting pressure from investors to return capital....more
The second Trump administration brought with it high expectations about a more receptive approach toward the regulation of cryptocurrencies and other digital assets....more
On December 18, 2025, the Holding Foreign Insiders Accountable Act (the Act) was enacted as part of the 2026 National Defense Authorization Act. Effective March 18, 2026, the Act eliminates an exemption from the reporting...more
Last week, Vanguard updated its voting policies for this proxy season. Remember that Vanguard has split its stewardship teams into two – and for this proxy season, it appears there are no substantive differences between the...more
Crypto Custody Provider Announces IPO, Bank Launches Tokenized Deposits - In a recent press release, BitGo Holdings, Inc., a digital asset infrastructure company, “announced the launch of its initial public offering of...more
The European Commission (EC) has launched two consultations on reforming the rules for venture and growth capital funds. The consultations seeks to explore potential changes to the regulatory framework applying to such funds...more
Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough...more
The Financial Markets Standards Board has published its 2026 workplan. The workplan covers a wide range of areas in relation to wholesale financial markets, and in 2026 the Board sets out the following focus topics...more
Not content to “let it be,” the Financial Services Institute (FSI) sought and received, on November 17, 2025, a significant SEC staff no-action letter relating to the broker-dealer status of personal service entities (PSEs)...more
The most frequently asked question at all-hands meetings for a securities offering is “What financial statements will be needed?” The question seems simple enough. But the answer is rarely straightforward. This User’s...more
In case there was any doubt, insider trading enforcement—including DOJ criminal and SEC civil charges—remains a priority to kick off the new year. Last week, the U.S. Attorney’s Office for the District of Massachusetts...more
The UK Financial Conduct Authority (FCA) has published an updated webpage on its consultation paper proposing a framework for introducing an equity consolidated tape in the UK, operated by a consolidated tape provider....more
The U.S. Supreme Court is set to resolve a critical circuit split over whether the Securities and Exchange Commission (“SEC”) must prove that investors were actually harmed to force wrongdoers to disgorge ill-gotten gains....more
Overview - As public companies prepare for the 2026 proxy and annual reporting season, significant regulatory and market developments are shaping disclosure practices, governance and investor engagement. This update...more