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
Daily Compliance News: May 8, 2026, The Unwinding the Sleaze Edition
AI Today in 5: May 7, 2026, The Compliance Investigations to AI Edition
GSK In China: 13 Years Later – Compliance Lessons Learned
Great Women in Compliance: DOJ’s New Fraud Division: Practical Insights for Compliance Professionals
Compliance into the Weeds: Ohio State and Improper Requests by a President
Daily Compliance News: May 6, 2026, The Black Hole of Venezuela Edition
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
The rise of special purpose acquisition companies (SPACs) has led to a surge in shareholder litigation, particularly in the Delaware Court of Chancery. SPACs raise capital to take private companies public through a process...more
Since Corp Fin recently renamed the CDIs to “CFIs” – “Corporation Finance Interpretations” to the “Compliance and Disclosure Interpretations” – I thought it would be a good time to recount the long history (50 years!) of this...more
On May 5, 2026, the Securities and Exchange Commission (“SEC”) issued a landmark proposal that would allow domestic SEC reporting companies to satisfy their interim reporting obligations by filing semiannual reports on new...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
Après plusieurs mois d'incertitude quant à sa possible publication et à son contenu, le décret sur l’éligibilité des « Autres FIA » en unités de compte vient tout juste d'être publié (décret n° 2026-341 du 30 avril 2026...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from April 2026. In April 2026: On April 7, the SEC announced its enforcement results for the fiscal year that...more
On May 5, 2026, the Securities and Exchange Commission (the “SEC”) proposed amendments that would permit companies subject to the periodic reporting requirements of the Securities Exchange Act of 1934, as amended (“Reporting...more
The SEC’s Division of Corporation Finance recently issued an exemptive order under the Exchange Act permitting certain tender offers for equity securities to remain open for a minimum period of ten business days instead of a...more
The Central Bank of Ireland (the Central Bank) today published its long-awaited revised AIF Rulebook, consolidating and modernising the regulatory framework for Irish alternative investment funds (AIFs). The revised Rulebook...more
Federal prosecutors in Boston and the SEC unveiled a coordinated takedown of an alleged global insider‑trading ring spanning multiple years, law firms, and “hub‑and‑spoke” tipping chains. As of May 6, 2026, authorities said...more
Leaders and employees know they need to keep communications over approved, auditable channels. But an out-of-office message directing a client to a personal mobile number is off-channel. A WhatsApp message arranging a meeting...more
On May 4, 2026, the U.S. Securities and Exchange Commission (SEC) Division of Trading and Markets staff (“Staff”) issued a no-action letter (“Relief”) stating that it would not recommend enforcement action under Section...more
On April 17, 2026, in Potyondy v. Pacific Coast Energy Co. (No. 2:24-CV-09151), the U.S. District Court for the Central District of California denied an employer’s motion for summary judgment on a SOX whistleblower claim—even...more
Engagement with CIMA is critical to a successful tokenised fund launch in the Cayman Islands. Tokenised funds regulated under the Mutual Funds Act or the Private Funds Act do not need to be separately regulated under the VASP...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
In 2012, the SEC Staff granted no action relief to Royal Bank of Canada to register covered bonds on a Registration Statement on Form F-3. Even though covered bonds are not “asset-backed securities,” that relief was...more
The decision to sell a registered investment adviser (RIA) is one of the most significant – and most complex – decisions an RIA owner will ever navigate, and avoiding the most common mistakes will help sellers achieve their...more
On May 5, 2026, the Securities and Exchange Commission (SEC) proposed amendments to the rules and forms governing periodic filing requirements for public companies that would allow companies to file one semiannual Form 10-S...more
On May 5, 2026, the Securities and Exchange Commission (SEC) proposed rule and form amendments that would allow companies reporting under the Securities Exchange Act of 1934, as amended (Exchange Act), the option to file...more
Section 205(a)(1) of the Advisers Act generally prohibits an investment adviser from entering into an investment advisory contract that charges a performance-based fee – i.e., compensation to the adviser based on a share of...more
On May 5, 2026, the Securities and Exchange Commission (the “SEC”) proposed rule and form amendments that would give public companies the option of filing semiannual reports on new Form 10-S in lieu of quarterly reports on...more
