Compliance Tip of the Day: Building a Data-Driven Culture
FCPA Compliance Report: Workplace Culture and Compliance with Alejandra Almonte and Ann Sultan
Daily Compliance News: February 10, 2025 The For Immediate Compliance Edition
Sunday Book Review: February 9, 2025, The Business Fairness at Work Edition
2 Gurus Talk Compliance - Episode 45 - The Snow in Florida Edition
Regulatory Ramblings: Episode 62 - The Green Belt and Road Initiative/Open-Source Intelligence & Non-English Language Online Research with Dr. Oriol Caudevilla and Skip Schiphorst
10 For 10: Top Compliance Stories For the Week Ending February 8, 2025
Compliance Tip of the Day: AI, Process Management and Compliance
Daily Compliance News: February 7, 2025, The Transactional, Not Material, World Edition
AdvisorEsq Podcast Series - Episode 11 - Planning Ahead: Creating a Smooth Transition
Adapting to Tariffs and Other Trade Policy Shifts Under the Trump Administration
Everything Compliance: The Q1- 2025, Great Women in Compliance Edition
Compliance Tip of the Day: AI and Compliance Training
Life With GDPR: Navigating CCO and CISO Liability Trends
Daily Compliance News: February 6, 2025, The Reassigned to IT Edition
FCPA Compliance Report: DeepSeek and the Sputnik Moment
Compliance Tip of the Day: Compliance and Agentic AI – Building Trust
Compliance into the Weeds: Why Compliance Officers Should Consider Public Office
Great Women in Compliance: GWIC X Everything Compliance
Daily Compliance News: February 5, 2025, The Eye on Gatekeepers Edition
Major Crypto Exchanges Launch New Products, Obtain Foreign Licenses - According to a recent company blog post, a major U.S. cryptocurrency exchange has launched a new staking product that will allow clients residing in...more
For most investment advisers, March signals the beginning of Form ADV season, where compliance officers gather all kinds of firm data to update a document fraught with potential regulatory liability. For the uninitiated, Form...more
For years, the crypto industry has faced regulatory uncertainty, with the Securities and Exchange Commission (SEC) relying on “regulation by enforcement” rather than establishing specific rules for digital assets. Coinbase,...more
President Trump campaigned on the promise to make the United States the “crypto capital” of the world. In his first days in office, he took steps to advance that goal, including by signing an executive order designed to...more
February 7, 2025 - The U.S. Department of the Treasury announced the appointment of Rodney E. Hood as Acting Comptroller of the Currency, effective February 10, 2025. The Acting Comptroller also will be a director on the...more
On January 23, 2025, President Trump issued an executive order titled “Strengthening American Leadership in Digital Financial Technology” aimed at supporting “the responsible growth and use of digital assets, blockchain...more
In December 2024, the Federal Reserve Board (the “Board”) announced that they will be seeking public comment on “significant changes to improve the transparency of its bank stress tests and to reduce the volatility of...more
Stablecoins, which are digital assets pegged to fiat currency or other assets, play a crucial role in crypto markets, offering price stability and facilitating transactions. Despite their growing significance, there is no...more
A Delaware court recently found for the policyholders in determining that a directors and officers (D&O) liability policy covered the settlement of an underlying action alleging violations of the Securities Exchange Act of...more
Welcome to the latest edition of Fenwick’s Securities Law Update. This issue contains updates and important reminders on...more
The SEC currently has several notable rule proposals that have received public comment but have not yet been finalized. The potential direction of these proposals is likely to be influenced by the leadership of the new SEC...more
On January 27, DOJ announced a cryptocurrency exchange platform (the platform) pled guilty to operating as an unlicensed money transmitting business and failing to implement adequate AML and know-your-customer (KYC) programs....more
Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast, All Things Investigation. In this podcast, host Tom Fox is joined by Sean Reilly to explore the Nippon Steel/US Steel...more
On January 13, FINRA accepted a Letter of Acceptance, Waiver and Consent (AWC) from a financial services member firm to address allegations of supervisory failures related to recommendations of alternative investments. ...more
February 2025 has already proven to be a busy month in the congressional and US Securities and Exchange Commission public discourse regarding the digital assets sector. Members of the SEC and US Congress made significant...more
On February 5, FINRA announced while amendments to the TRACE reporting rules were approved in September 2024, an effective date for these amendments has not been established. These amendments, known as the “one-minute”...more
HM Treasury has published a letter (dated 18 December 2024) from Andrew Bailey, Bank of England Governor, in his role as Chair of the Financial Policy Committee. In the letter, Mr Bailey sets out the response of the FPC to...more
The Silicon Valley Bank UK Limited Compensation Scheme Order 2025 (SI 2025/83) has been published, together with an explanatory memorandum. The order confirms in law that no compensation is due to the persons who held shares...more
On January 14, 2025, the Department of the Treasury and the Internal Revenue Service issued proposed regulations (Proposed Regulations) relating to the expansion of the definition of “covered employees” under Internal Revenue...more
The European Securities and Markets Authority has published its final report containing draft regulatory technical standards relating to colleges for central counterparties under the European Market Infrastructure Regulation...more
President Trump has taken the first steps toward fulfilling his promise to reverse the Biden administration’s approach to digital assets by issuing an executive order that establishes a framework for fostering the growth of...more
Pre-IPO investing involves buying a stake in a company before the company makes its initial public offering of securities. Many stock promoters invite potential investors to invest in a pre-IPO offering by providing an...more
On February 6, 2025, the SEC announced that it was providing a temporary exemption from compliance with Rule 13f-2 under the Securities Exchange Act of 1934 (the “Exchange Act”), which establishes a mandatory short reporting...more
Please be advised, on January 21, 2025, the Securities and Exchange Commission (“SEC”) under the Acting Chairman, Mark T. Uyeda, announced the formation of a new agencywide “Crypto Task Force” (“Task Force”), which will be...more
On October 31, 2024, the SEC censured a major wirehouse for selling mutual funds to customers when lower-priced exchange-traded fund (ETF) “clones” of those funds were available. The SEC found that when recommending the...more