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
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
In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone curious. It could be books about business, compliance, history, leadership, current events,...more
On 17 November 2025, the Division of Corporation Finance (the Division) of the US Securities and Exchange Commission (the SEC) issued a statement announcing that it will not respond to or express views on most no-action...more
Crypto Firms Announce New Licenses, Products; USDT Stability Rating Lowered - On Nov. 25, MoonPay, a crypto payments company, announced that its newly established trust company obtained a trust charter from the New York...more
On November 21, the Congressional Research Service released a report reviewing possible disruptions in the U.S. Treasury securities market and outlining policy options. The nearly $30 trillion Treasury market is critical for...more
Our Securities Litigation and White Collar, Government & Internal Investigations Teams outline how Congress’s market structure proposals and the Securities and Exchange Commission’s (SEC) emerging token classification...more
On May 12, 2025, Matthew R. Galeotti, Acting Assistant Attorney General (AAG) of DOJ’s Criminal Division, issued a memorandum to all Criminal Division personnel. The subject of that memorandum was “Focus, Fairness, and...more
On December 3, 2025, the Securities and Exchange Commission (the “SEC”) announced that it was providing a second temporary exemption from compliance with Rule 13f-2, the short sale reporting rule, and related Form SHO and...more
For the first time in nearly two decades, the SEC is preparing to modernize Item 402 of Regulation S-K, the backbone of public-company executive compensation disclosure. Although the timing remains uncertain, we expect...more
On 13 November, the UK Financial Reporting Council (FRC) published its Annual Review of Corporate Governance Reporting (the Review), setting out key findings from an analysis of a sample of 100 randomly selected companies...more
Alt-retail partnerships, which see alternative asset managers and retail asset managers coming together to offer retail investors exposure to alternative strategies, are increasingly in demand....more
On December 2, the House Financial Services Committee conducted an oversight hearing with testimony from leaders from the FDIC, OCC, Fed and NCUA. Lawmakers and regulators discussed recent efforts to tailor regulatory...more
On November 21, Fed Vice Chair Philip Jefferson addressed the Cleveland Fed’s Financial Stability Conference, focusing on the rapid adoption of AI and its implications for the economy, financial stability, and regulatory...more
On December 2, 2025, the U.S. District Court for the Southern District of New York approved a settlement between the U.S. Securities and Exchange Commission (SEC) and a broker-dealer for policy and procedure violations and a...more
On 21 November 2025, the LSE published Feedback Statement: Shaping the Future of AIM, which summarises the feedback received on its April 2025 Discussion Paper proposing reforms to the AIM Rules....more
On November 17, 2025, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2026 examination priorities that highlight examination topics that the Division plans to focus on...more
Magna-D Glob. Healthcare No. 1 Private Equity Fund v. CoImmune, Inc., C.A. No. 2024-0456-SEM (Del. Ch. June 3, 2025) (report granting fee-shifting) - Magna-D Global Healthcare No. 1 Private Equity Fund v. Coimmune, Inc.,...more
Selected U.S. Privacy & Cyber Updates - SEC Dismisses Remaining Claims Against SolarWinds - On November 20, 2025, the Securities and Exchange Commission (SEC) dismissed its landmark enforcement action against SolarWinds Corp....more
Glass Lewis has released its 2026 Benchmark Policy Guidelines, along with its 2026 Benchmark Policy Guidelines on Shareholder Proposals and ESG-related issues, introducing several notable changes ahead of the upcoming proxy...more
On November 17, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its Fiscal Year 2026 Examination Priorities (the 2026 Priorities), outlining the key topics that the Division...more
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