10 For 10: Top Compliance Stories For the Week Ending December 6, 2025
Compliance Tip of the Day: M&A-Pre-Acquisition: Final Lessons
From the Editor’s Desk: Compliance Week’s Insights and Reflections for November and into December 2025
Compliance and AI: Navigating the Challenges and Opportunities of Agentic AI in Compliance
AI Today in 5: December 5, 2025, The AI Doesn’t Know How to Learn Edition
Daily Compliance News: December 5, 2025, The White Collar Criminal Enterprise Edition
Regulatory Ramblings: Episode 83 - Hong Kong’s New Protection of Critical Infrastructures (Computer Systems) Ordinance
Everything Compliance: Episode 162, The Numbers, Numbers, Numbers Edition
Compliance Tip of the Day - M&A - Pre-Acquisition: Reviewing Financial and Operational Data
AI Today in 5: December 4, 2025, The Microsoft Blips Edition
Daily Compliance News: December 4, 2025, The End of the Pyramid Edition
Great Woman in Compliance: GWIC Joins Everything Compliance
AI Today in 5: December 3, 2025, The Code Red Edition
Compliance into the Weeds: Understanding SFO Guidance and Compliance Program Assessments
Daily Compliance News: December 3, 2025, The COI Comes to Football Edition
ACI-FCPA Conference Speaker Preview Series - Doing Business (and Compliance) in India with Joseph Azam
Everything Compliance: Shout Outs & Rants: Episode 162, Numbers, Numbers, Numbers
Compliance Tip of the Day – M&A-Pre-Acquisition: Conducting a Corruption Risk Assessment
Innovation in Compliance: Steph Holmes on Blending AI and Human Oversight for Effective Compliance
Daily Compliance News: December 2, 2025, The Tuna Bond Fraud Edition
Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance stories you need to know to end your busy week. Sit...more
Earlier this week, Securities and Exchange Commission Chair Atkins gave remarks that provided a perspective on measures intended to promote capital formation. Speaking at the New York Stock Exchange, of course, he noted the...more
From 29 June 2028, any firm wishing to provide certain types of “ESG rating” in the UK will need FCA authorisation. The government consulted on this in 2023, and in October 2025 it published draft legislation to implement...more
Summary Exam focus remains anchored in longstanding concerns: fiduciary duties, conflicts of interest, valuation, fees and expenses, operational resiliency, and disclosures and filing obligations, despite greater transparency...more
On December 3, 2025, the Securities and Exchange Commission (SEC) issued an exemptive order extending the compliance dates for two rules: Rule 10c-1a (Reporting of Securities Loans) Rule 13f-2 (Short Position and Short...more
Under the current regime, eligible UCITS funds from specified jurisdictions are afforded a streamlined authorisation process with the SFC in order to be marketed and sold to retail investors in Hong Kong. All SFC-authorised...more
In May 2025, the Securities and Futures Commission (the “SFC”) formally launched the mutual recognition of funds arrangement between Hong Kong and Ireland (the “Ireland-HK MRF”) in collaboration with the Central Bank of...more
On 3 December 2025, EFRAG provided its technical advice on draft simplified European Sustainability Reporting Standards (“ESRS”) to the European Commission. The revised ESRS deliver a “reduction of burden for companies” under...more
Based in New York, Mike has over 13 years of banking experience, and a degree in finance and mathematics from the University of Notre Dame. With PNC since 2014, Matt is based in Philadelphia and has a degree in economics and...more
The NAL provides incremental clarity for innovators in the digital asset space and reduces legal risk for similarly structured rewards tokens....more
On 4 December 2025, ASIC published Report 827, Insights from the ASIC Whistleblower Questionnaire: July 2024 to June 2025 (Report). The Report sets out the findings of a questionnaire conducted by ASIC into the whistleblowing...more
ISS updated its benchmark proxy voting policies on November 25, 2026. The updates applicable to U.S. companies are briefly summarized below. ...more
Key Takeaways - The SEC’s agreement with defendants to dismiss, with prejudice, its case against SolarWinds Corporation (SolarWinds) and its chief information security officer (CISO) signals a retreat from aggressive,...more
The EU Commission estimates that the proposed 15% Taxonomy alignment threshold should be attainable for about half of the current investment funds disclosing under Article 9....more
On September 17, 2025, the Securities and Exchange Commission (SEC) announced that the presence of a mandatory arbitration provision in a company’s governing documents will not impact the agency’s decisions about whether to...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
Yesterday, Glass Lewis released its Benchmark Policy changes for 2026, which are included in this 90-page document...more
Under a regulation recently finalized by the California Franchise Tax Board (FTB), fees received by asset managers may be subject to income tax in California based on the domicile of a fund’s underlying investors or...more
On 14 November 2025, the Prudential Regulation Authority (PRA) published Discussion Paper 2/25, “Alternative Life Capital: Supporting Innovation in the Life Insurance Sector,” which starts the PRA’s engagement with...more
US public companies are gearing up for the 2026 proxy season. In this post, we take a look at some of the legal and other developments that will influence environmental and social proposals and company responses....more
The European Commission has adopted a Delegated Regulation amending Delegated Regulation (EU) 2017/567 as regards regulatory technical standards (RTS) on equity transparency requirements under the Markets in Financial...more
On Dec. 2, the Acting Chairman of the Federal Deposit Insurance Company (FDIC), Travis Hill, gave a statement before the House Committee on Financial Services. On the topic of digital assets, Hill mentioned that “the FDIC has...more
Following consultation earlier this year, the Takeover Panel has published a response statement adopting amendments to the Takeover Code concerning dual class share structures (DCSS), IPOs, and share buybacks. ...more
In this episode of ‘The Editor’s Desk’ podcast, hosts Tom Fox and Aaron Nicodemus delve into key compliance issues featured in Compliance Week. Tom and Aaron discuss top stories from Compliance Week in November, look at...more
On December 3, 2025, the Securities and Exchange Commission (the “SEC”) further extended the date for compliance with Rule 13f-2 under the Securities Exchange Act of 1934 (“Exchange Act”) and the related reporting on Form SHO...more
