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
Referencing changing investor sentiment and low support at annual meetings, the 2026 policy update includes significant changes to ISS’ approach to E&S shareholder proposals, replacing a previous presumption of support for...more
On November 17, the SEC’s Division of Examinations published its 2026 examination priorities, outlining key areas of regulatory focus for the upcoming year. ...more
This year has seen a record percentage of whistleblower claim denials by the U.S. Securities and Exchange Commission. This rising trend of award denials is a departure from the SEC’s previous track record and may reflect a...more
The UK Financial Conduct Authority (FCA) has published findings from its data quality review of prudential regulatory reporting by MIFIDPRU investment firms, covering submissions from January 2024 to March 2025. The FCA found...more
Introducing Series SAFE Preferred: A New Venture Financing Tool - Mintz has launched Series SAFE Preferred, a newly designed early-stage financing security that blends the efficiency of a SAFE with the structural clarity...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
The UK Financial Conduct Authority (FCA) has published a new webpage announcing the launch of a special stablecoins cohort within its Regulatory Sandbox for firms issuing stablecoins. This will enable UK firms planning to...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
Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom welcomes Nicole Di Schino, Principal Compliance Services Consultant at Diligent’s Spark Compliance Group, to...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
As the year-end reporting season approaches, many public companies are starting preparations for their annual reports on Form 10-K to be filed in early 2026. Below are five key reminders as preparations begin....more
The Canadian Securities Administrators (CSA) recently announced a new online consultation tool for stakeholders to provide their comments on proposed regulatory policies and rules. The consultation tool enables stakeholders...more
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
