Compliance into the Weeds: Live from the Floor of ACI
Great Women in Compliance - Global Corruption Prevention: A View from France
Compliance Tip of the Day – Improvement of Internal Controls
AI Today in 5: December 10, 2025, The Redefining Compliance Edition
Daily Compliance News: December 10, 2025, The US Credibility Under Strain Edition
Compliance Tip of the Day - Monitoring of Internal Controls
AI Today in 5: December 9, 2025, The One AI Rule Edition
Daily Compliance News: December 9, 2025, The Lawyers, Guns and Money Edition
Sunday Book Review: December 7, 2025, The Best Books on History Edition
Compliance Tip of the Day - What Can Lead to an Internal Control Over-ride
AI Today in 5: December 8, 2025, The AI in Battling Edition
FCPA Compliance Report - Nicole Di Schino on Harnessing AI for Compliance: Governance, Risks, and Best Practices
Daily Compliance News: December 8, 2025, The Surviving Holiday Parties Edition
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
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
On November 17, 2025, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for 2026 (the “Priorities”)....more
On December 5, 2025, the Securities and Exchange Commission (the “SEC”) agreed to modify certain long-standing restrictions placed on major investment banks as part of a court settlement (commonly referred to as the “global...more
In this article, we will discuss the benefits of using a Cayman Islands holding company for Japan companies looking to list on the New York Stock Exchange (NYSE), Nasdaq, or the Hong Kong Stock Exchange....more
Dans un arrêt publié le 28 novembre 2025, la Cour suprême du Canada (la « CSC ») a confirmé que le critère à deux étapes relatif à un « changement important » en vertu de la Loi sur les valeurs mobilières de l’Ontario (la «...more
The European Securities Markets Authority (ESMA) has issued a statement to support the smooth implementation of the regulation on markets in cryptoassets (MiCAR) data standards and format requirements. The statement provides...more
The UK Financial Conduct Authority (FCA) has published policy statement PS25/17 on removing the systematic internaliser regime for bonds, derivatives, structured finance products and emission allowances from 1 December....more
Rules are changing in the UK and EU, but the biggest test is the US 401(k) system — home to more than $9 trillion and the world’s tightest fiduciary constraints....more
On 8 December 2025, the GC100 published guidance to support UK companies that wish to hold virtual-only shareholder meetings — in anticipation of the government’s proposed update to the Companies Act 2006 to clarify that...more
2025 will be remembered as a year of transition for Canadian taxpayers. The newly elected federal government pivoted away from many controversial Canadian tax policies of the early 2020s, while reaffirming its commitment to...more
The UK Financial Conduct Authority (FCA) has published findings from a multi-firm review assessing the effectiveness and governance of rating committees at UK-registered credit rating agencies (CRAs). The review focused on...more
Green shoots in the M&A market have provided a timely boost for leveraged loan issuance, putting the market on track to end the year strong - US leveraged loan issuance is energizing the global debt capital markets, with...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
The UK Prudential Regulatory Authority (PRA) and the UK Financial Conduct Authority (FCA) have published a policy statement finalising amendments to the Binding Technical Standards (BTS 2016/2251) on margin requirements for...more
Directive (EU) 2024/927 ("AIFMD II") introduces EU-wide rules for alternative investment fund managers ("AIFMs") regarding loan origination, liquidity management tools for open-ended alternative investment funds ("AIFs") and...more
With New Year’s Day approaching, now is an exciting time to imagine what lies ahead for the capital markets. Q1 is typically quiet, but if you’re considering an initial public offering in 2026, keep an eye out for these key...more
If precatory proposals are not a guaranteed option, proponents could look to submit binding shareholder proposals under Rule 14a-8 as an alternative, which in practice means binding bylaw proposals that would have direct...more
In this episode of Great Women in Compliance, Lisa sits down with Valentina Lana, a Paris-based attorney and ethics & compliance leader who bridges industry and academia. Valentina shares how an early-career opportunity...more
The UK Financial Conduct Authority (FCA) has published its latest Regulation Round-up, a monthly newsletter to firms covering hot topics, events and sector news. Areas for firms to note include: (i) the launch of the...more
On December 5, the Office of the Comptroller of the Currency (OCC) and Federal Deposit Insurance Corporation (FDIC) jointly rescinded the 2013 Interagency Guidance on Leveraged Lending and the 2014 FAQs, citing that the...more
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice for navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
Who may be interested: Registered Investment Companies; Directors of Registered Investment Companies; Investment Advisers Registered Investment Companies; Directors of Registered Investment Companies; Investment Advisers;...more
Anti-money laundering counter-terrorist financing and proliferation financing (AML/CFT/CFP) remains the main focus of inspections, and CIMA has demonstrated a clear readiness to take enforcement action where deficiencies are...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 market dynamics of 2024 and 2025 have created a fertile ground for new SPAC IPOs, but this time around, sponsors and directors are examining the lessons learned from the previous cycle to shape a more thoughtful,...more
Welcome to AI Today in 5, the newest edition 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
