AI Today in 5: March 9, 2026, The Dr. AI is In Edition
FCPA Compliance Report: Highlights from SCCE Europe with Gerry Zack
Daily Compliance News: March 9, 2026, The Death Carve Out for Betting Edition
Sunday Book Review: March 8, 2026, The Top Books on the End of the World Edition
AI Today in 5: March 6, 2026, The Captain Nemo Edition
Creativity and Compliance: Captain Compliance: Humor, Characters, and Creative Training at Premera Blue Cross
Daily Compliance News: March 6, 2026, The Does ChatGPT Practice Law Edition
Daily Compliance News: March 5, 2026, The DOJ and State Bars Edition
Great Women in Compliance: Resilience is a Muscle You Can Build
Compliance into the Weeds: SDNY’s New Declination Policy: Crime Categories, Cooperation, and Compliance Implications
Daily Compliance News: March 4, 2026, The Knickers in a Twist Edition
The PFBCon Podcast: Regulatory Ramblings Wins the 2025 Agora Award: Inside the Podcast Bringing Clarity to Global Financial Regulation
Innovation in Compliance: Healthcare Compliance: Fraud, Waste & Abuse, Culture, and Data-Driven Risk Management with Evan Sampson
Daily Compliance News: March 3, 2026, The Law Firms Cleared Edition
AI Today in 5: March 2, 2026, The Silent Failure at Scale Edition
FCPA Compliance Report: Venezuela Re-Entry: A Strategy of Watchful Waiting
Daily Compliance News: March 2, 2026, The Texas Independence Day Edition
Sunday Book Review: March 1, 2026, The Top Books on Alamo Edition
From The Editor’s Desk: Reflections from February and Insights into March for Compliance Week
AI Today in 5: February 27, 2026, The Have It Your (AI) Way at BK Edition
In this episode of The Crypto Exchange, hosts Ethan Ostroff and Genna Garver look back at 2025 — ultimately a pivotal year for digital assets and crypto regulation in the U.S. — drawing on Troutman Pepper Locke’s flagship...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
The Securities and Exchange Commission (SEC) has amended its Enforcement Manual for the first time since 2017. Our White Collar, Government & Internal Investigations Team explores how the SEC has updated its Wells process,...more
On March 9, 2026, the staff of the Division of Corporation Finance of the Securities and Exchange Commission published a short series of FAQs on the timing of initial Section 16(a) reports by directors and officers of certain...more
On March 5, 2026, the Market Structure Subcommittee of the U.S. Securities and Exchange Commission’s (“SEC”) Investor Advisory Committee (“IAC”) released a recommendation regarding the tokenization of equity securities. The...more
Last week, the banking agencies issued guidance in the form of Frequently Asked Questions that provides certainty regarding the treatment of tokenized securities for purposes of the capital rules. While this is not...more
On February 24, 2026, the National Association of Insurance Commissioners’ Life Insurance and Annuities Illustrations Working Group made its debut appearance. As a prelude, Ben Slutsker, director of life actuarial valuation...more
SEC Grants Relief Within Days of Filing Deadline - On March 5, 2026, the Securities and Exchange Commission (SEC) issued a final order exempting officers and directors of foreign private issuers (FPIs) incorporated or...more
The Securities and Exchange Commission ("SEC") has revised its Enforcement Manual (the "Manual") for the first time since 2017, implementing critical changes to enforcement policies and procedures....more
The Investor Advisory Committee (the “Committee”) of the Securities and Exchange Commission (the “SEC”) will hold a public meeting on March 12, 2026, beginning at 10:00 a.m. ET. The meeting will be open to the public and...more
On March 5, 2026, in advance of the March 18th compliance deadline, the U.S. Securities and Exchange Commission (“SEC”) issued an order granting directors and officers of certain foreign private issuers (“FPIs”) an exemption...more
On March 5, the Federal Deposit Insurance Corporation (FDIC), Federal Reserve Board, and Office of the Comptroller of the Currency (OCC) (collectively, the agencies) jointly issued FAQs clarifying how tokenized securities are...more
The Financial Services and Markets Act 2023 (Commencement No 13) Regulations 2026 were made, following HM Treasury's policy response on applying the Financial Services and Markets Act 2000 model of regulation to the UK...more
Starting March 1, 2026, California’s Fair Investment Practices by Venture Capital Companies Law (FIPVCC) imposes new registration and reporting obligations on certain venture capital companies with a nexus to California. The...more
On March 5, 2026, the Securities and Exchange Commission (SEC) issued an exemptive order Release No. 34-104931, Order Granting Directors and Officers of Certain Foreign Private Issuers an Exemption from the Filing...more
Last week, on March 4, 2026, the U.S. Securities and Exchange Commission (“SEC”) held a roundtable on retail investments in private market, or “alternative,” investments. Such investments might include, for example, hedge,...more
In 2025, the US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) experienced significant leadership changes, staffing departures, and a renewed “back to basics” emphasis on...more
On February 27, 2026, the Securities and Exchange Commission (SEC) adopted final amendments to implement the Holding Foreign Insiders Accountable Act (HFIAA), which amended Section 16(a) of the Securities Exchange Act of 1934...more
On March 4, 2026, SEC Chairman Paul S. Atkins delivered remarks at the Financial Stability Oversight Council’s Artificial Intelligence Innovation Series Roundtable on Strategy and Governance Principles, outlining how the...more
On March 5, 2026, the Securities and Exchange Commission (the SEC) issued an order exempting directors and officers of certain foreign private issuers (FPIs) in Canada, Chile, the European Economic Area, the Republic of...more
As an attorney who’s advised companies in the digital assets space for over a decade—and among the first to accept bitcoin as payment for legal services—I’ve been getting a lot of questions lately about the recent and...more
On 17 February, the UK Financial Conduct Authority (FCA) and the UK Prudential Regulation Authority (PRA) published parallel consultation papers (CP26/6 and CP2/26 respectively, and together, the Consultation Papers) setting...more
The U.S. Attorney's Office for the Southern District of New York ("SDNY") recently announced a program that offers companies greater incentives to voluntarily self-disclose financial crimes involving fraud. The SDNY program...more
A recent decision from the U.S. District Court for the Middle District of Tennessee marks a significant development in the ongoing dispute over whether sports event contracts offered on prediction market platforms are...more
Since it seems like we can’t go a week without new or revised CDIs from Corp Fin – the gift that keeps on giving – of course, we had a few new ones drop on Friday....more
