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
31 Days to a More Effective Compliance Program: Day 18 - Risk Assessments
Sunday Book Review: January 18, 2026, The Top Books on Innovation ’26 Edition
31 Days to a More Effective Compliance Program: Day 17 - Podcasting for Compliance
31 Days to a More Effective Compliance Program: Day 16 - Effective and Tailored Compliance Training
2 Gurus Talk Compliance: Episode 68 - The Corruption is Free Speech Edition
AI Today in 5: January 16, 2026, The More Chatbots in Recruiting Edition
Daily Compliance News: January 16, 2026, The Another Basketball Point-Shaving Scandal Edition
31 Days to Effective Compliance Program: Day 15 - Monitoring and Improving Internal Controls
AI Today in 5: January 15, 2026, The AI for IA Edition
FCPA Compliance Report: The Role of AI and Data Analytics in Compliance: Preview of The Leading Edge with Roxanne Bras Petraeus and Andrew McBride
Daily Compliance News: January 15, 2026, The Do You Need a Second CCO Edition
31 Days to a More Effective Compliance Program: Day 14 - Internal Controls
Great Women in Compliance: When Women Speak Up: Gender, Whistleblowing and Retaliation
AI Today in 5: January 14, 2026, The Apple Folds Edition
For investment advisers, investment managers, private funds, commodity pool operators and commodity trading advisors looking to navigate 2026 with confidence, this update serves as a starting point to prepare for the year...more
States are building on their enforcement momentum following the November 2025 gubernatorial and attorney general (AG) elections. Businesses may want to take into consideration how changes at the top of state governments often...more
In 2025, the “visible hand” of government became a defining feature of the U.S. financing landscape. Rather than relying solely on grants or tax credits, the federal government increasingly invested directly in companies in...more
On January 13, 2026, SEC Chairman Paul S. Atkins has announced a comprehensive, materiality‑first review of Regulation S‑K to combat disclosure overload and sharpen focus on what a reasonable investor would find useful for...more
On Dec. 19, 2025, the Market Participants Division (MPD) of the Commodity Futures Trading Commission (CFTC) issued No-Action Letter 25-50 (the “Letter”), which provides interim no-action relief from commodity pool operator...more
Companies continue to be pressured to move away from the conglomerate model and toward simplified and targeted strategies and risk profiles....more
Institutional Shareholder Services (“ISS”) and Glass Lewis have published their Canadian benchmark policy guidelines for the 2026 proxy season. This year’s updates include clarifying changes to ISS’ guidelines relating to...more
Clients and Friends, As the new year begins, we’re excited to share our 2026 Insights. This issue is packed with analysis and forward-looking commentary on some of the key topics we see shaping the global business landscape....more
The U.S. District Court for the District of Columbia on January 8, 2026, rejected arguments by two former investment advisers that they could be permanently banned from the securities industry only after a jury trial....more
The U.S. Securities and Exchange Commission (SEC) is now enforcing two new initiatives that, together, create a direct test of how well boards manage accountability and risk. A new executive compensation clawback rule, along...more
In a win for Wiley’s client, the United State Court of Appeals for the Fourth Circuit, applying Maryland law, reversed judgment on the pleadings in favor of the insured, holding that a securities class action, derivative...more
If you work at or with an investment adviser, the SEC’s 2026 examination priorities are critical because they shape what examiners will scrutinize when assessing whether firms are acting in clients’ best interests, keeping...more
The UK Financial Conduct Authority (FCA) has published findings from its multi‑firm review on the distribution of complex exchange traded products (ETPs) to retail consumers, highlighting both good practice and areas...more
On 19 January 2026, a new UK prospectus regime, under the Public Offers and Admissions to Trading Regulations 2024 (the “New Prospectus Rules”) took effect. Published by the Financial Conduct Authority (“FCA”), the new rules...more
The House of Lords Financial Services Regulation Committee has published a report titled "Private markets: Unknown unknowns". The report highlights the rapid global expansion of private markets and raises concerns about the...more
The UK Financial Conduct Authority (FCA) has published an update on its advice guidance boundary review – targeted support policy sprint. The six-week sprint, launched in February 2025, brought together 12 firms, including...more
The CSSF’s Circular 25/901 (Circular) consolidates and modernizes the supervisory framework for Luxembourg SIFs, SICARs and Part II UCIs. It replaces several longstanding circulars and codifies CSSF expectations across...more
As organisations reflect on a year of significant legal and regulatory change, 2026 is shaping up to be a defining period for both governance professionals and employers. Across corporate governance and employment law,...more
The aviation asset-backed securitization (ABS) market continues to strengthen. Aviation ABS activity in 2025 exceeded US$10.3 billion in public issuances across 16 deals, and several first-time issuers entered the market....more
Seeking to resolve a long-running circuit split regarding the proof of investor harm by the Securities and Exchange Commission (SEC) for purposes of a disgorgement order, the Supreme Court has agreed to hear the appeal of SEC...more
Welcome to 2026 and Goodwin’s Public Company Advisory Practice News Roundup. We kick off a new year of highlighting the latest developments in SEC and stock exchange regulatory activity, corporate governance and other topics...more
UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe....more
2025 saw significant changes in the United States Department of Justice (DOJ)’s approach to Foreign Corrupt Practices Act (FCPA) enforcement and anti-corruption efforts. In February, DOJ announced a “pause” in enforcement of...more
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
