31 Days to a More Effective Compliance Program: Day 14 – Internal Controls
Innovation in Compliance: Todd Haugh on Ethical Decision Making in the Workplace - Beyond Financial Incentives
Everything Compliance: Episode 147, The Welcome to 2025 Edition
Daily Compliance News: January 14, 2025 The RTO Compliance Edition
Adventures in Compliance: The Case-Book of Sherlock Holmes – Business Ethics Lessons in ‘The Adventure of the Blanched Soldier
31 Days to a More Effective Compliance Program: Day 13 – Policies and Procedures
Daily Compliance News: January 13, 2025 The End of Western Civilization Edition
10 For 10: Top Compliance Stories For the Week Ending January 11, 2025
31 Days to a More Effective Compliance Program: Day 12 – The Importance and Construction of a Corporate Code of Conduct
31 Days to a More Effective Compliance Program: Day 11 – Moving Compliance Down into an Organization
Regulatory Ramblings: Episode 61 – Extraterritorial Enforcement of US Laws in Asia Under Trump in 2025 / Hong Kong’s New Stablecoin Bill with Ben Hammond and Ross Feingold
Creativity and Compliance – 10 Creative Tips for 2025
31 Days to a More Effective Compliance Program: Day 10 - Leadership’s Role in Shaping Corporate Culture and Compliance
2 Gurus Talk Compliance: Episode 43 - The Tribute to Jimmy Carter Edition
Daily Compliance News: January 10, 2025 The Enron is Back Edition
31 Days to a More Effective Compliance Program: Day 9-Continuous Monitoring and Continuous Improvement
Business Integrity Innovations: Building a Corruption - Free Zimbabwe: Doris Kumbawa’s Vision
Daily Compliance News: January 9, 2025 The Tribute to Jimmy Carter Edition
31 days to a More Effective Compliance Program: Day 8 - Building Effective Compliance Through Payroll
Compliance into the Weeds: 5 Top Compliance Stories to Watch in 2025
Just in time for the commencement of proxy season we have this reminder from SEC Enforcement about disclosures of related-person transactions. Failure to properly report on a related-person transaction has been a subject of...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from December 2024. In December 2024: President-elect Trump nominated former SEC Commissioner Paul...more
In a significant victory for policyholders, the Delaware Superior Court rejected three insurers' attempts to apply their Directors and Officers Liability ("D&O") policies' so-called "bump-up" exclusion to bar coverage for...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
The Financial Markets Standards Board has published its updated final statement of good practice for front office supervision of wholesale traded markets. The statement of good practice sets out 15 good practice statements,...more
The European Banking Authority has published a consultation paper on its draft Regulatory Technical Standards on the calculation and aggregation of crypto-exposure values under the Capital Requirements Regulation 3...more
Companies frequently grant incentive stock options (ISOs) or sponsor an employee stock purchase plan (ESPP) to provide tax-advantaged equity incentives to employees that are U.S. taxpayers. One aspect of the tax-advantaged...more
On January 10, 2025, the United States Federal Trade Commission (FTC) approved new premerger notification thresholds and revised filing fees under the Hart-Scott-Rodino Act (HSR). These new thresholds will apply to all...more
January 14, 2025- Federal Deposit Insurance Corporation Chair Martin Gruenberg gave a speech entitled “Three Financial Crises and Lessons for the Future,” at the Brookings Institution....more
On January 10, 2025, Judge Reed O’Connor of the Northern District of Texas issued a much-anticipated ruling in Spence v. American Airlines, Inc., which marks the first time that a federal judge has written an on-the-merits...more
The Federal Trade Commission (FTC) announced on January 10, 2025, increased reporting thresholds for transactions. Annually, the FTC reviews and adjusts the premerger notification reporting thresholds for reporting...more
Recently, Institutional Shareholder Services (“ISS”) released updates to its voting policies for 2025, including new and updated responses to its Compensation Policies FAQs and new Value-Adjusted Burn Rate Benchmarks (based...more
Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom will post a key part of a best practices compliance...more
In this week’s episode, Hemma visits Catherine Razzano, a veteran legal and compliance expert and Head of Global Legal Compliance at social media giant TikTok. Learn about Catherine’s transition from private practice to...more
The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Are you looking for some...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 in to the Daily Compliance...more
Significant risk transfer transactions or SRTs are one of the fastest growing corners of the financial markets. In this update, the opening of the US market, increasing international regulatory scrutiny and updates to the UK...more
On 27 February 2024, the Financial Conduct Authority (FCA) published its Consultation Paper CP24/2, which revealed the FCA’s new intended approach to publicised enforcement action. This was quickly dubbed the “name and shame”...more
1. Higher Jurisdictional Thresholds For HSR Filings - On January 10, 2025, the Federal Trade Commission announced revised, higher thresholds for premerger filings under the Hart-Scott-Rodino Antitrust Improvements Act of...more
On January 13, the Federal Acquisition Regulatory (FAR) Council withdrew the greenhouse gas (GHG) disclosure rule that it proposed in late 2022. As explained previously, the proposed rule would have required certain federal...more
On October 10, 2024, the US Federal Trade Commission ("FTC") finalized significant updates to the Hart-Scott-Rodino ("HSR") Form and Instructions ("New HSR Rules"). On November 12, 2024, the New HSR Rules were published on...more
In Gunderson v. The Trade Desk, Inc., the Delaware Court of Chancery held that a charter provision requiring supermajority stockholder approval to amend or repeal The Trade Desk, Inc.’s (Trade Desk) charter was not triggered...more
Recently, the Israel Securities Authority (ISA) published draft rules regulating entities’ notice of exemption from the obligation to obtain a license to provide payment or payment initiation services....more
The Securities and Exchange Commission (SEC) is increasing its scrutiny on artificial intelligence (AI)-related disclosures; therefore, companies must tread carefully as year-end reporting season approaches. Specifically,...more
