Trekking Through Compliance: Episode 17 – The Squire of Gothos – Training and Communication Lessons
AI Today in 5: June 17, 2026, The End of Fragmented AML Edition
Compliance into the Weeds: OFAC’s Warning Shot: FTI Consulting Fined for Indirect Dealings with Sanctioned Bank
Regulating Prediction Markets: Federal Oversight, State Authority, and the Road Ahead — Payments Pros – The Payments Law Podcast
Daily Compliance News: June 17, 2026, The Book-Cation Edition
Trekking Through Compliance: Episode 16 – Leadership Lessons from The Galileo 7
AI Today in 5: June 16, 2026, The AI as a Cost Excuse Edition
SBR-Author’s Podcast: Douglas Wood on Law, Writing, and the Compliance Risks of AI: From Media Negotiations to Deadly Bytes
Innovation in Compliance: Compliance by Design in iGaming: Engineering, Data, and Release Governance with Mouhcine Jalili
Daily Compliance News: June 16, 2026, The President as Prosecutor Edition
Trekking Through Compliance: Episode 15 – Shore Leave – Why Compliance Should be Fun
AI Today in 5: June 15, 2026, The Anthropic In Trouble Edition
FCPA Compliance Report: Data Defensibility: The Foundation of AI Readiness with George Tziahanas
Daily Compliance News: June 15, 2026 – The SBF Loses His Appeal Edition
Sunday Book Review: June 14, 2026, The Top Books on the Continental Congress Edition
AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week – June 12, 2026
Creativity and Compliance: Compliance 6-Pack: Part 5 – Truth in Comedy – Authenticity and Storytelling for More Credible Compliance
AI Today in 5: June 12, 2026, The Everyone’s a Stakeholder Edition
2 Gurus Talk Compliance: Episode 78 – A Brave New World Edition
AI in Financial Services in 5 Stories – Week Ending June 12, 2026
Summary - On May 29, 2026, the U.S. Securities and Exchange Commission (the “SEC”) proposed the rescission of the climate-related disclosure rules originally proposed in 2022 and ultimately adopted in March 2024 (the...more
On June 15, 2026, the Delaware Court of Chancery issued an Opinion interpreting Section 144 of the Delaware General Corporation Law (the DGCL), the landmark statutory measure adopted last year to provide safe harbors for...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 June 4, 2026, the Supreme Court in Sripetch v. SEC unanimously held that the US Securities and Exchange Commission (SEC) need not prove that investors suffered a pecuniary loss before obtaining disgorgement....more
On June 11, 2026, the Supreme Court issued its opinion in FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd., No. 24-345, 608 U.S. ___ (2026) (“Saba Capital”)....more
I’ve seen this movie before and it’s not as scary as you would think. When I worked at the SEC during the mid-‘90s, the SEC only had two Commissioners for a spell – Chair Arthur Levitt and Commissioner Steven Wallman – and...more
Show Summary The episode “The Squire of Gothos” serves as an excellent illustration of essential lessons in training and communications crucial for compliance practitioners today. In this episode, the USS Enterprise,...more
On June 12, the Commodity Futures Trading Commission (CFTC) published a notice of proposed rulemaking (RIN 3038–AF65) to amend its rules concerning event contract derivatives traded on prediction markets. The proposal further...more
Odds are good that someone in your workplace has money riding on the next interest rate decision, election outcome, or season finale of a reality show – and your existing workplace policies might not cover this new trend....more
In 2022, the Securities and Exchange Commission (SEC) adopted rule changes requiring disclosure of whether public companies have adopted policies and procedures governing transactions in the company’s securities by its...more
On June 11, the Supreme Court, in a 6-3 decision authored by Justice Amy Coney Barrett, joined by Justices John G. Roberts, Clarence Thomas, Samual A. Alito, Neil M. Gorsuch, and Brett M. Kavanaugh, issued a pivotal and...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
Sripetch v. SEC marks the third installment in an almost decade-long debate over the boundaries of SEC disgorgement, a significant agency enforcement tool. In FY 2025, for instance, the Commission obtained $10.8 billion in...more
Private equity and other outside investors seeking investment in law firms have mostly turned to forming legal management services organizations, or MSOs, to pursue their investment. Because we, in the healthcare space,...more
This is our initial public offering guide. It will help you decide whether an IPO is the right move for your company and, if so, help you make sure your IPO goes off as quickly and as smoothly as possible, without any...more
On June 11, 2026, the United States Supreme Court issued its decision in FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd., holding that Section 47(b) of the Investment Company Act of 1940, as amended (the “1940...more
Between the two of us, we have been practicing law in Silicon Valley since the late 1990s. We have watched the dot-com bubble inflate and burst, the credit markets seize, the long zero-rate boom that followed, and the...more
Welcome to our EU crypto update - a roundup of key Irish and EU legislative and regulatory developments shaping the crypto-asset sector....more
The UK Financial Conduct Authority (FCA) has published a letter (dated 1 June) to the House of Lords Financial Services Regulation Committee. The letter sets out the FCA's findings from its "lessons learned" exercise of its...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 in greater depth. Looking for some hard-hitting...more
In this crossover episode of Payments Pros and Regulatory Oversight, Stephen Piepgrass and Keith Barnett provide an update on the fast-developing prediction markets landscape. They discuss how federal and state regulators are...more
Companies or individuals facing an investigation by the SEC may simultaneously be confronted with parallel investigations from other agencies, including the U.S. Department of Justice (DOJ). Particularly when civil and...more
The National Futures Association (“NFA”) recently published two sets of amendments intended to reduce unnecessary regulatory burdens on NFA member firms (“Members”) without impacting the NFA’s ability to effectively carry out...more
The National Futures Association (“NFA”), the industry-wide self-regulatory organization for the derivatives industry, has amended its Rules and related Interpretive Notices (i) to eliminate the requirement that an associated...more
