AI Today in 5: May 14, 2026, The King Charles Edition
GSK In China: 13 Years Later - Episode 9: Anti-Corruption Enforcement and the Compliance Imperative
Daily Compliance News: May 14, 2026, The Jho Low Wants a Pardon Edition
AI Today in 5: May 13, 2026, The AI and Getting Fired Edition
Compliance into the Weeds: The DOJ Trainwreck and the Rising Risk Calculus for Compliance and Self-Disclosure
Daily Compliance News: May 13, 2026, The Hair Raising Edition
The PFBCon Podcast: AI Audio Enhancement Without the Robotic Mess: Keep Your Podcast Warm, Clear, and Human with Audra Casino
AI Today in 5: May 12, 2026, The RegTech as Infrastructure Edition
Innovation in Compliance: Data Defensibility: The Compliance Foundation for AI Governance with George Tziahanas
Daily Compliance News: May 12, 2026, The TACO Don Goes to China Edition
AI Today in 5: May 11, 2026, The AI Notetakers Edition
FCPA Compliance Report: Report from Compliance Week 2026 on AI Sessions
Daily Compliance News: May 11, 2026, The Tainted by Corruption or Collusion Edition
Sunday Book Review: May 10, 2026, The Top Books on AI Governance Edition
Betting the Game: Inside Information: The New Edge in the Betting Economy
AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week – May 8, 2026
Pod and Port: Podcasting, Social Media and Yacht Rock - From Vanity Metrics to Attribution: Creator Marketing Takeaways and a Yacht Rock Spotlight on Toto
AI Today in 5: May 8, 2026, The AI Guardrails Edition
AI in Financial Services in 5 Stories - Week Ending May 8, 2026
Creativity and Compliance: Compliance 6-Pack: Part 3 - An Attitude of Gratitude
This Regulatory Round-up highlights a selection of significant EU and UK developments during March and April 2026 that are of relevance to asset managers, including...more
The U.S. Securities and Exchange Commission (SEC) has submitted a final rule to the White House titled “Rescission of Policy Regarding Denials in Settlement of Enforcement Actions”—a proposal on which the SEC declined to...more
On May 8, 2026, the SEC submitted a request to the White House Office of Management and Budget to end its policy regarding denials in settlements of enforcement actions, also known as the “gag rule” or “no admit, no deny...more
Last month, the SEC issued relief – in the form of an exemptive order – permitting certain types of tender offers to remain open for only 10 business days, cutting in half the prior general requirement of 20 business days....more
Deal activity pulled back MoM but outperformed YoY: Across buyer types, April global deal value declined month-over-month but was up 21% compared to last year. Deal count fell 26% to the lowest level in over a year....more
The SEC has issued its long-awaited proposal to permit semiannual reporting for US public companies. In this Cooley alert, we share a summary of how the rules would work if adopted as proposed....more
On May 12, State Attorneys General Enforcement & Investigations Chair Kevin Frankel met with three senior federal enforcement officials in the Northern District of California (covering the San Francisco Bay Area): Craig...more
On May 5, 2026, the SEC proposed amendments that would, if adopted, permit public companies currently filing on Form 10-Q to elect instead to file semiannual reports on a new Form 10-S. Exchange-traded vehicles (ETVs),...more
On Thursday, May 14, at 10:30 a.m., the Senate Banking, Housing, and Urban Affairs Committee will meet in executive session to mark up H.R. 3633, the Digital Asset Market Clarity Act of 2025 (the CLARITY Act). The session is...more
Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to AI Today In 5....more
On May 8, the U.S. Securities and Exchange Commission (SEC) quietly sent a final rule titled “Rescission of Policy Regarding Denials in Settlements of Enforcement Actions” to the Office of Management and Budget (OMB) for...more
Auditor negligence claims are rarely won on breach alone. In Wine Enterprise v Crowe, the English High Court focused on whether a different audit approach would realistically have changed the company’s trajectory, and on the...more
On May 5, 2026, the SEC announced a proposal to update the existing public company quarterly reporting schedule to allow registrants to file one semiannual report on new Form 10-S, rather than three quarterly reports on Form...more
Increased regulatory scrutiny in China and stricter listing requirements in the US have resulted in a reduction in the number of listings of Chinese companies (typically structured with a Cayman Islands, BVI or Bermudan...more
The Compliance Inspection Program will run from March 2026 to February 2027 with a focus on the trust corporate service providers, investment business and virtual assets service providers sectors. The program will assess...more
The European Parliament has finalised its proposed amendments to the Securitisation Regulation and Capital Requirements Regulation (the Parliament Position). The European Parliament’s Committee on Economic and Monetary...more
For many companies, compliance starts as a set of policies: a code of conduct, an employee handbook, a whistleblower process, a document-retention policy, and annual training. Those pieces matter but are not sufficient on...more
Thirteen years after the GSK China scandal exploded onto the global stage, its lessons remain as urgent as ever for compliance professionals and business leaders. In this podcast series, we revisit the case not simply as...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 News....more
On May 5, 2026, the U.S. Securities and Exchange Commission (the SEC or Commission) issued proposed rule and form amendments that would, if adopted as proposed, allow public companies to file a semiannual report on new Form...more
Nasdaq’s move to nearly round-the-clock trading is set to transform access for global investors. Our Securities Group takes stock of the new schedule and how it will demand operational adjustments from listed companies....more
In Larouche v. PGM ResidualCo Holdings Inc., 2026 BCSC 674, the British Columbia Supreme Court (the “Court”) refused leave to pursue secondary market claims under the B.C. Securities Act(“Act”) in a proposed class action...more
NYSE American has materially tightened its initial listing standards following SEC approval of amendments to Sections 101 and 102 of the NYSE American Company Guide, as published in the April 1, 2026, Federal Register notice....more
SEC Prescribes Higher FINRA Gift Limit - On February 12, 2026, the Securities and Exchange Commission approved an amendment to Financial Industry Regulatory Authority (FINRA) Rule 3220. Rule 3220 prescribes the maximum...more
To keep you informed of recent activities, below are several of the most significant federal events that have influenced the Consumer Financial Services industry over the past week....more
