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Thomas Fox - Compliance Evangelist

Adventures in Compliance: The Sign of Four – Holmes Revealed: Communication and Training Insights

In this new season of Adventures in Compliance, we take a deep dive into the Sherlock Holmes novels. Today, we conclude our four-part exploration of the novel The Sign of Four with a deep dive into communication and training...more

Goodwin

“‘They Will Thank Me in the Long Run’”: Court of Appeal Considers Good Faith Obligations and Fiduciary Duties of Directors in...

Goodwin on

The English Court of Appeal’s recent decision in Saxon Woods Investments Limited v. Francesco Costa ([2025] EWCA Civ 708) provides clarification on the application of directors’ fiduciary duties and the interpretation of good...more

BCLP

Turf Social: A Developing Regulatory Relationship

BCLP on

On 10 June Nikhil Rathi, the FCA’s CEO, appeared before the Treasury Select Committee. The opening volley of questions was focused on the risks presented by illegal financial promotions on social media and, relatedly, the...more

Cooley LLP

Capital Markets Update – May 2025 One-Minute Reads

Cooley LLP on

ESMA releases proposed rules for regulation of ESG ratings providers On May 2, ESG Today reported that the European Securities and Markets Authority (ESMA) published draft Regulatory Technical Standards (RTS) under the...more

Akin Gump Strauss Hauer & Feld LLP

The Future of FCA Enforcement: Key Changes to the FCA's Streamlined Enforcement Guide

On 3 June 2025, the UK Financial Conduct Authority (FCA)’s updated Enforcement Guide (ENFG or the Guide) came into force. The ENFG, which replaces the previous Enforcement Guide (referred to as ‘EG’) from 2007, describes the...more

Katten Muchin Rosenman LLP

Senate Passes GENIUS Act: Landmark Federal Stablecoin Bill Advances to House

The US Senate has passed the Guiding and Establishing National Innovation for U.S. Stablecoins Act (GENIUS Act) by a vote of 68-30, a significant development for cryptocurrency regulation in the United States. This passage...more

Maynard Nexsen

COSO and NACD Publish a Proposed Corporate Governance Framework

Maynard Nexsen on

On May 27, 2025, the Committee of Sponsoring Organizations of the Treadway Commission (“COSO”), in collaboration with the National Association of Corporate Directors (“NACD”), released and is inviting public comment on an...more

Cooley LLP

Reincorporation Considerations for Late-Stage Private and Pre-IPO Companies

Cooley LLP on

Introduction - Companies thinking about, preparing for or going through the initial public offering (IPO) process have many things to do and many decisions to make (to put it mildly!). A relatively recent addition to this...more

Paul Hastings LLP

GENIUS Act Clears Senate, SEC Withdraws Proposed Rules and Bitcoin Reserve Bill Introduced

Paul Hastings LLP on

The Senate passed the GENIUS Act with bipartisan support, marking a significant step forward in advancing stablecoin legislation. Legislative action on stablecoins will now move to the House of Representatives. The House...more

Troutman Pepper Locke

4 Actions for Cos. as SEC Rebrands Cyber Enforcement Units

Troutman Pepper Locke on

On Feb. 20, the U.S. Securities and Exchange Commission announced the creation of the Cyber and Emerging Technologies Unit, which will replace the Enforcement Division’s previous Crypto Assets and Cyber Unit. Originally...more

Jones Day

Senate Passes GENIUS Act, Clearing Hurdle for Federal Stablecoin Framework

Jones Day on

The vote marks the first time the U.S. Senate has passed significant digital asset legislation and puts the industry one step closer to regulatory clarity for certain stablecoins....more

Orrick, Herrington & Sutcliffe LLP

OCC allows banks to use debt securities in repo agreements

On June 12, the OCC issued Interpretive Letter 1185 confirming that national banks may use certain debt securities as collateral in repurchase (repo) agreements. In the letter, the OCC responded to a December 19, 2024,...more

Cooley LLP

Texas Legislature Passes Law to Rein in Proxy Advisors

Cooley LLP on

Recently, the Texas Legislature passed Senate Bill 2337 (SB 2337) in an effort to regulate proxy advisors – including ISS and Glass Lewis – when they provide proxy voting recommendations for those companies that are either...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day – COSO Objective 1 – Control Environment

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more

Thomas Fox - Compliance Evangelist

#Risk New York Speaker Series – Bridging the Gap: Effective Risk Communication in Compliance with Rob Clark, Jr.

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies,...more

Thomas Fox - Compliance Evangelist

FCPA Compliance Report: Fraud Risk Management - Insights and Experiences with Peter Schablik

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. Today, Tom Fox welcomes Peter Schablik, a seasoned professional in risk consulting and fraud detection. Peter shares his...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: June 23, 2025, The Is Walmart Cool Edition

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 News....more

The Volkov Law Group

Episode 374 -- Justice Department Resumes FCPA Enforcement with New, Focused Guidance

The Volkov Law Group on

The Justice Department has returned to the FCPA enforcement arena -- in a significant development, DOJ announced the resumption of FCPA enforcement, with a new set of enforcement guidance principles. The new guidance is an...more

Thomas Fox - Compliance Evangelist

Sunday Book Review: June 22, 2025, The Books on the Declaration of Independence Edition

In the Sunday Book Review, Tom Fox considers books that would interest compliance professionals, business executives, or anyone curious about the subject. It could be books about business, compliance, history, leadership,...more

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending June 21, 2025

Welcome to 10 For 10, the podcast which brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance brings to you, the compliance professional, the compliance stories you need to...more

DLA Piper

Current State of Play for Foreign Private Issuers

DLA Piper on

As discussed in our prior blog post, the US Securities and Exchange Commission (Commission) recently issued a concept release (Release) aiming to gather input on whether the criteria for designation as a foreign private...more

Polsinelli

Blockchain+ Bi-Weekly; Highlights of the Last Two Weeks in Web3 Law: June 20, 2025

Polsinelli on

It was a busy two weeks in Congress, as key pieces of digital asset legislation move forward in both the House and Senate. While the stablecoin bill in the Senate looks like it may pass quickly, the overarching market...more

Thomas Fox - Compliance Evangelist

#Risk New York Speaker Series – Inside Behavioral Insights: Tom Hardin on Compliance at #RiskNYC

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies,...more

Thomas Fox - Compliance Evangelist

2 Gurus Talk Compliance – Episode 54 – The FCPA is Back On Edition

What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s...more

K&L Gates LLP

United States: The Great SEC Spring Clean Up–14 Proposals Wiped Away

K&L Gates LLP on

Spring is a time of renewal, and the US Securities and Exchange Commission (SEC)–under its new chairman, Paul Atkins–has shown that. On 12 June 2025, the SEC withdrew 14 proposed rules impacting funds and asset managers,...more

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