Compliance Tip of the Day: Board Compliance Committee
Great Women in Compliance – Neta Meidav on Bridging the Trust Gap
Compliance into the Weeds: DOGE and Compliance
Daily Compliance News: December 4, 2024 – The So It Begins Edition
Compliance Tip of the Day: Boards and Operationalizing Compliance
Daily Compliance News: December 3, 2024-the Under Pressure Edition
Corruption, Crime & Compliance: LRN’s Code of Conduct Survey
Daily Compliance News: December 2, 2024 – The Committed to Compliance Edition
Career Can Do: From Family Dream to a Lasting Legacy with Jessica Levinev
FCPA Compliance Report – Adrian Roux on South Africa’s New Compliance Legislation and Its Global Impact
Episode 347 -- LRN's Code of Conduct Survey
Riskology By Infortal™: Episode 37 – Boots on Deck: Managing Maritime Risk with Joshua Hutchinson from AMBREY
FCPA Compliance Report – Episode 737 – Navigating Compliance in a Trump Presidency: Insights and Concerns
Sunday Book Review: November 24, 2024 – The Thanksgiving Mysteries Edition
Fox on Podcasting – Unleashing Creativity and Profit Through Podcast Seasons
10 For 10: Top Compliance Stories For the Week Ending November 23, 2024
Compliance Tip of the Day – Policy Week: Extortion Payments
Daily Compliance News: November 22, 2024 – The All NYT Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public Offerings?
Business Integrity Innovations: Championing Integrity – Trade, Integrity, and Investment in Africa: Insights from Toki Mabogunje
The Securities and Exchange Commission’s Investor Advisory Committee (the “Committee”) will meet on Tuesday, December 10, 2024, in an open meeting, that will stream on the SEC’s website. The Committee will first hear from...more
On November 22, 2024, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2024. Below are some key takeaways for fund managers: Total enforcement actions were down from recent years. The...more
On November 21, 2024, International Organization of Securities Commissions (“IOSCO”) published a consultation report (the “Report”) to provide guidance on acceptable pre-hedging practices and soliciting feedback from market...more
To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week...more
As 2024 comes to an end, we are pleased to present our traditional End-of-Year Plan Sponsor “To Do” Lists. This year, we present our “To Do” Lists in four separate SW Benefits Updates. Part 1 addressed health and welfare plan...more
The Bank of England has updated its approach to financial market infrastructure supervision. The BoE states that its approach to supervision continues to be underpinned by four core principles: (i) its supervisors rely on...more
What is the Travel Rule? The virtual asset “Travel Rule”, formally known as the “Financial Action Task Force (FATF) Recommendation 16”, requires Virtual Asset Service Providers (VASPs) to share and hold specific customer...more
In her first comments since the July 2024 UK general election, Economic Secretary to the UK Treasury Tulip Siddiq MP delivered a speech at the Tokenisation Summit on 21 November 2024 that outlined the recently elected UK...more
The Council of the European Union has adopted the Regulation amending the European Market Infrastructure Regulation, the Capital Requirements Regulation, and the Money Market Funds Regulation as regards measures to mitigate...more
The European Securities and Markets Authority has finalized its technical advice for the European Commission on the Central Securities Depositories Regulation penalty mechanism. ESMA hopes to incentivize all actors in the...more
The Financial Stability Board has published a letter sent to the G20 leaders ahead of their meeting on November 18, 2024, together with the FSB 2024 annual report...more
El Ministerio de Hacienda y Crédito Público de Colombia expidió el Decreto 1239 de 2024 con el objetivo de consolidar un marco regulatorio que potencie la liquidez del mercado de valores, facilitando una mejor formación de...more
The European Securities and Markets Authority has published a final report on its assessment of the shortening of the settlement cycle in the EU to T+1. The report highlights that the increased efficiency and resilience of...more
On 15 October 2024, the Luxembourg Commission de Surveillance du Secteur Financier (the “CSSF”) imposed a fine of EUR 56,500 against a fund manager, Aviva Investors Luxembourg S.A. (the “Manager”), with regards to the...more
I had many ideas for an article that would expand on recent developments in the compliance and ethics space. My working title was the creatively light “Recent Developments.” But after meeting with SCCE & HCCA’s editorial...more
The Israel Securities Authority recently published a staff legal position addressing the licensing requirements for businesses operating in the “Buy and Sell” or “Reseller” model in online marketplaces. The position clarifies...more
The U.S. Department of Justice (DOJ) and the U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC) have recently announced two enforcement actions that demonstrate the U.S. government's aggressive and...more
December 2, 2024 - Ahead of a hearing to examine how technology is shaping the future of finance, the Chairman of the House Financial Services Committee, Patrick McHenry (NC-10), and Ranking Member Maxine Waters (CA-43)...more
The SEC’s fiscal year 2024 enforcement results signal a pivotal moment for U.S. capital markets. Despite a 26% decline in the total number of enforcement actions compared to 2023 (sitting at a total of 583 for this year), the...more
Welcome to the sixth edition of Private Capital Insights. As we navigate the complexities of 2024, the private capital sector continues to demonstrate resilience and adaptability in the face of evolving market dynamics....more
The day before Thanksgiving, eleven Republican state attorneys-general (representing Texas, Alabama, Arkansas, Indiana, Iowa, Kansas, Missouri, Montana, Nebraska, West Virginia and Wyoming) filed a lawsuit against three...more
When founders in Italy set up a startup, they must make decisions that can have long-term effects, especially when it comes to raising capital. Creating a company establishes responsibilities to employees, customers and...more
The SEC has announced that it filed settled charges against Kiromic BioPharma and two of its executives for alleged failure to disclose in its public statements and filings, including in its public offering prospectus,...more
The SEC has charged a financial firm and its leaders for making false claims about using artificial intelligence (AI) in their automated trading process. This case highlights the critical need for transparency in an...more
The Securities and Exchange Commission (SEC) recently brought settled enforcement actions against two registered investment advisers for failing to establish, maintain, and enforce written policies and procedures reasonably...more