31 Days to a More Effective Compliance Program: Day 20 - Third Party Risk Management Process
AI Today in 5: January 20, 2026, The Extortion Edition
Innovation in Compliance: Transforming from Hierarchy to High Performance: Governance and AI in 2026
Daily Compliance News: January 20, 2026, The First We Kill All the Lawyers Edition
31 Days to a More Effective Compliance Program: Day 19 - Evaluating the Risk Management Process
FCPA Compliance Report: Navigating Corporate Ethics and Compliance Trends in 2026 with Mike Volkov, Part 2
31 Days to a More Effective Compliance Program: Day 18 - Risk Assessments
Sunday Book Review: January 18, 2026, The Top Books on Innovation ’26 Edition
31 Days to a More Effective Compliance Program: Day 17 - Podcasting for Compliance
31 Days to a More Effective Compliance Program: Day 16 - Effective and Tailored Compliance Training
2 Gurus Talk Compliance: Episode 68 - The Corruption is Free Speech Edition
AI Today in 5: January 16, 2026, The More Chatbots in Recruiting Edition
Daily Compliance News: January 16, 2026, The Another Basketball Point-Shaving Scandal Edition
31 Days to Effective Compliance Program: Day 15 - Monitoring and Improving Internal Controls
AI Today in 5: January 15, 2026, The AI for IA Edition
FCPA Compliance Report: The Role of AI and Data Analytics in Compliance: Preview of The Leading Edge with Roxanne Bras Petraeus and Andrew McBride
Daily Compliance News: January 15, 2026, The Do You Need a Second CCO Edition
31 Days to a More Effective Compliance Program: Day 14 - Internal Controls
Great Women in Compliance: When Women Speak Up: Gender, Whistleblowing and Retaliation
AI Today in 5: January 14, 2026, The Apple Folds Edition
The Financial Markets Standards Board has published its 2026 workplan. The workplan covers a wide range of areas in relation to wholesale financial markets, and in 2026 the Board sets out the following focus topics...more
Not content to “let it be,” the Financial Services Institute (FSI) sought and received, on November 17, 2025, a significant SEC staff no-action letter relating to the broker-dealer status of personal service entities (PSEs)...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
In case there was any doubt, insider trading enforcement—including DOJ criminal and SEC civil charges—remains a priority to kick off the new year. Last week, the U.S. Attorney’s Office for the District of Massachusetts...more
The UK Financial Conduct Authority (FCA) has published an updated webpage on its consultation paper proposing a framework for introducing an equity consolidated tape in the UK, operated by a consolidated tape provider....more
The U.S. Supreme Court is set to resolve a critical circuit split over whether the Securities and Exchange Commission (“SEC”) must prove that investors were actually harmed to force wrongdoers to disgorge ill-gotten gains....more
Overview - As public companies prepare for the 2026 proxy and annual reporting season, significant regulatory and market developments are shaping disclosure practices, governance and investor engagement. This update...more
Rob Hughes, the CISO at RSA, has more than 25 years of experience leading security and cloud infrastructure teams. In this episode, he reflects on his unconventional career path, from co-founding the original Geek.com and...more
In this episode of "Clearly Conspicuous," consumer protection attorney Anthony DiResta breaks down why social media advertising has become a top Federal Trade Commission (FTC) priority for 2026 and how long-standing consumer...more
On January 12, 2026, Judge Robert Pitman of the United States District Court for the Western District of Texas granted a motion to dismiss a putative securities class action against a cybersecurity company (the “Company”) and...more
The European Securities and Markets Authority (ESMA) has published its final report with guidelines on stress test scenarios under the Money Market Funds Regulation (MMF Regulation). ESMA updates these guidelines at least...more
Recent changes to the UK public offer, admission to trading and prospectus regime from January 19, 2026 have implications for issuers and other parties involved in debt capital markets transactions offered, or listed on a...more
The Senate Banking Committee delayed its scheduled markup of the digital asset market structure legislation as bipartisan negotiations continue. A key point of contention is a provision prohibiting digital asset service...more
On September 17, 2025, the SEC issued an order approving new “generic” listing standards that are music to the ears of commodity-based exchange-traded products (ETPs), including those backed by crypto assets. Importantly, the...more
The UK FCA has fined a capital markets adviser to an energy company £100,281 – and banned him from working in financial services – for insider dealing. The action illustrates the comparatively low threshold for what may...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 the AI Today In...more
The new Administration has a clear mandate to provide a securities regulatory pathway for crypto, but it had been unclear whether the SEC would take the initiative in building a framework for crypto regulation, or whether...more
On January 16, 2026, the Federal Trade Commission (FTC) published a notice in the Federal Register announcing the latest annual adjustments to the reporting thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of...more
Dive into the world of compliance and high-stakes investigations! In this episode of #GWIC, Hemma Lomax talks with Jamie Hoxie Solano, Partner at Dynamis LLP and former federal prosecutor, about how compliance and legal...more
Beginning in 2026, a new law — the Fair Investment Practices by Venture Capital Companies Act (“FIPVCC”) — imposes new obligations on a wide array of asset management firms that operate in California, make investments in...more
The Council and the Parliament have published their respective compromise positions and draft rapporteur reports on the Commission's proposals to revise the EU's securitisation framework. Extensive changes are proposed...more
Welcome to the October - December 2025 issue of our Irish Quarterly Legal and Regulatory report for asset management and investment funds....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 it more fully. Looking for some hard-hitting insights on...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
