31 Days to a More Effective Compliance Program: Day 24 - Internal Reporting and Triage
31 Days to a More Effective Compliance Program: Day 23 - Investigative Protocols
AI Today in 5: January 23, 2026, The Greatest AI Challenge Edition
Daily Compliance News: January 23, 2026, The Lying Liars Who Lie Edition
31 Days to a More Effective Compliance Program: Day 22 - Level of Due Diligence
AI Today in 5: January 22, 2026, The AI Compliance Blindspot Edition
Daily Compliance News: January 22, 2026, The Compliance Officers Fired Edition
31 Days to a More Effective Compliance Program: Day 21 - Managing Third Parties
No Password Required: CISO at RSA and Champion of a Passwordless Future
Podcast - Social Media Advertising and the FTC: Deception and the Architecture of Compliance
AI Today in 5: January 21, 2026, The 9 AI Risks Edition
Great Women in Compliance: Don’t Freak Out: Compliance from a Prosecutor-Defense Lens
Compliance into the Weeds: Addressing Retaliation Against Compliance Officers: Strategies & Insights
Daily Compliance News: January 21, 2026, The Excellence in Compliance Awards Edition
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
Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough...more
In this episode of Just Compensation, Megan Monson and Jessica I. Stewart join host Taryn E. Cannataro in discussing common treatments of outstanding stock options and other equity awards in transactions. The discussion...more
On January 9, 2026, the Ninth Circuit heard oral argument in an appeal challenging California’s climate reporting laws: SB 253 (emissions disclosure) and SB 261 (climate‑related financial risk reporting). The court previously...more
The number of cryptocurrency-related enforcement actions initiated by the U.S. Securities and Exchange Commission in 2025 showed a marked decline in the first year of Chair Paul Atkins’ administration, according to a new...more
There have been a number of notable recent developments in U.S. Securities and Exchange Commission (SEC) regulation of foreign private issuers (FPIs), including disclosure trends that impact the annual report on Form 20-F for...more
The unclaimed property landscape will continue to evolve rapidly in 2026. States are modifying their enforcement methods and broadening the reach of their statutes while simultaneously facing increased legal challenges from...more
On Jan. 15, 2026, the Staff of the Securities and Exchange Commission updated the FAQ page pertaining to Rule 206(4)-1 (the Marketing Rule) under the Investment Advisers Act of 1940. The updated guidance provides potential...more
On 22 January 2026, the Luxembourg parliament adopted a reform of the carried interest regime (the “Law”)1, aiming at extending its benefits, making it more attractive, and clarifying its tax treatment. This reform2,...more
The Executive Order directs the U.S. Department of War to review defense contractor performance and certain financial practices tied to stock buybacks, dividends and executive pay....more
On September 15, 2025, the SEC’s Division of Corporation Finance issued a no-action letter to Exxon Mobil Corp. confirming that it will not recommend enforcement action under the proxy rules regarding the company’s proposed...more
The Canada Revenue Agency (CRA) has made a significant reversal of its longstanding administrative position on the GST/HST treatment of mutual fund trailing commissions. Historically treated as exempt financial services, the...more
When a company is looking to raise third-party capital, it will frequently sell equity in the form of securities issued by the company. The U.S. Securities Act of 1933 (as amended, the “Securities Act”) prohibits the sale of...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
On January 9th, a three-judge panel for the U.S. Court of Appeals for the Ninth Circuit heard oral arguments relating to the U.S. Chamber of Commerce and other parties' (the "Chamber") challenge of SB 253 (the Climate...more
On Jan. 21, U.S. Senate Committee on Agriculture, Nutrition, and Forestry Chairman John Boozman, R-Ark., released updated legislative text that builds on a previously released bipartisan discussion draft that would give the...more
A new California law imposes significant new registration and reporting requirements on a broad range of asset management firms. Although the statute is styled as a “venture capital” law, its expansive definitions and...more
The Jersey States Assembly has approved amendments to the Companies (Jersey) Law 1991 aimed at reinforcing its position as a leading international financial centre....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
The Canada Revenue Agency (“CRA”) has recently revised its longstanding administrative position on the GST/HST exempt-treatment of mutual fund trailing commissions. Under the new position that will be enforced as of July 1,...more
On the heels of our last client alert on bankruptcy safe-harbor case law developments, yet another court has reemphasized the breadth of the Bankruptcy Code’s safe harbors for transactions conducted under qualified financial...more
The Canadian Securities Administrators (“CSA”) have proposed amendments and changes to National Instrument 81-102 Investment Funds (“NI 81-102”) and its companion policy pertaining to the liquidity risk management (“LRM”) of...more
The new UK prospectus regime, the Public Offers and Admissions to Trading Regulations 2024 (POATRs), came into force on 19 January 2026. Whilst many aspects of the previous prospectus regime have been carried over, there are...more
On January 8, 2026, NYSE American LLC filed a proposed rule change with the SEC to amend the provisions of the NYSE American Company Guide governing initial listing standards. If approved, the amendments would represent a...more
On January 7, 2026, the president issued an Executive Order titled “Prioritizing the Warfighter in Defense Contracting” (the “Order”). The Order directs the Department of War and other agencies to take immediate and...more