Got an Audit Letter? Here’s What Every Health Care Provider Should Do
Hidden in Plain Sight: Human Trafficking, Compliance, and Corporate Accountability — Hiring to Firing Podcast
Employment Law in 2026: What to Expect - #WorkforceWednesday® - Employment Law This Week®
The Lobby Bar Podcast | Compliance Close-Up: Lobby Reporting Audits
Compliance Tip of the Day - NBA Betting Scandal-Prop Bets and Sports Books
ACI - FCPA Conference Speaker Preview Series - Mike Koenig on Going Behind the Curtain of Corporate Governance
From the Editor’s Desk: Compliance Week’s Insights and Reflections for October and into November 2025
Popcorn and Compliance: Episode 5 - Invisible Compliance: Lessons from The Invisible Man
Compliance into the Weeds: The NBA Betting Scandal - Lessons for the Compliance Professional
Compliance Tip of the Day – Using Comms to Drive Speak Up
Culture Crafters - Ethics Culture Divide, Part 3 - Building and Sustaining an Ethical Culture in Organizations
AI Today in 5: October 21, 2025, The Oligarchy in AI Edition
Popcorn and Compliance: Episode 3 - Compliance in the Full Moonlight: Lessons from The Wolf Man
Compliance Tip of the Day - Design Centric Internal Controls
Compliance Tip of the Day - Monitoring and Improvement of Internal Controls
AI Today in 5: October 15, 2025, The White House Target Edition
Sunday Book Review: October 12, 2025, The Ancient Greece Edition
Popcorn and Compliance: Episode 2 - Dracula’s Compliance Secrets: What Lurks in the Night
Doing Due Diligence Right
Compliance Tip of the Day - Compliance Lessons from Shell
On April 8, 2026, Alabama’s legislature passed House Bill 351, the Alabama Personal Data Protection Act (the APDPA), which now goes to Alabama’s governor, Kay Ivey, for signature. If signed, the law will take effect May 1,...more
When public companies announce bad news—regulatory compliance failures, government investigations or enforcement actions, workplace safety incidents, product recalls, data breaches, cyber-security incidents, or other adverse...more
This week marks an important new chapter in the self-regulation of advertising in the United States. Yesterday, the Center for Industry Self-Regulation's Institute for Responsible Influence (IRI) announced the launch of a new...more
Zur Milderung der hohen Energiekosten und zuletzt rasanten Preissteigerung hat der Koalitionsausschuss am 13. April 2026 ein Entlastungspaket beschlossen, dass den Bürgerinnen und Bürgern schnelle Abhilfe gegen höhere...more
Here’s one sure bet for compliance officers this spring: your oversight of insider trading risk is about to get a lot more complicated, thanks to the rise of prediction markets. Prediction markets, as you may have seen from...more
On March 18, 2026, the U.S. Department of Labor’s Occupational Safety and Health Administration announced the launch of a new OSHA initiative called CARE, which stands for Customer Assistance, Resources & Engagements. ...more
The Delaware Office of the Secretary of State (SOS) confirmed that on April 10, 2026, invitation notices were sent to businesses (holders) identified as potentially out of compliance with Delaware’s unclaimed property law....more
Federal contractors often face unique challenges when their work intersects with the Freedom of Information Act (FOIA). While FOIA primarily governs federal agencies, contractors can be indirectly affected when agencies...more
This is the fifth in a six-part series on incentive design, deal structure, and how these issues surface in transactions and enforcement. Other relevant topics will be discussed in our upcoming presentation, Physician Owner...more
If AI is making legal, privacy, and cybersecurity functions faster and more efficient, why does the organization's overall risk profile feel higher than ever?...more
The UK Financial Conduct Authority (FCA) has published findings of a multi‑firm review of customer due diligence (CDD), enhanced due diligence (EDD) and ongoing monitoring controls, setting out examples of good and poor...more
On March 20, FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) with an online brokerage firm, censuring and fining the firm $450,000 for alleged deficiencies in its anti-money laundering program, customer...more
State privacy regulators used a recent IAPP panel to send a direct message: enforcement is accelerating, fines are expected to rise, and compliance will be judged on how programs operate....more
The FCA has provided feedback on its 2025 multi-firm review of customer due diligence (CDD), enhanced due diligence (EDD) and ongoing due diligence controls across various regulated sectors. The feedback relates to the...more
Washington state expanded its existing property rights law to address use of a person’s “forged digital likeness” without the person’s consent. Substitute Senate Bill 5886 (SSB 5886), signed into law by Gov. Bob Ferguson on...more
On 13 March 2026, Bermuda's Minister of Finance designated Bermuda's Corporate Income Tax Agency (CITA) as the 'competent authority' under the International Cooperation (Tax Information Exchange Agreements) Act 2005 and the...more
Key Takeaways - Florida is formalizing memory care regulation for assisted living facilities (“ALFs”). A new specialty license for memory care services, administered by the Agency for Health Care Administration (“AHCA”), will...more
Welcome to our new quarterly newsletter by the Tarter Krinsky & Drogin White Collar and Regulatory Enforcement Practice and Three Mile Advisors LLC highlighting key regulatory and compliance developments for broker-dealers...more
Last month, the United States Department of Justice (DOJ) released a Corporate Enforcement and Voluntary Self-Disclosure Policy (CEP) which, for the first time in the DOJ’s history, applies across the entire DOJ with the...more
On March 30, 2026, Governor Gavin Newsom signed Executive Order N-5-26, building on California's earlier AI framework established by Executive Order N-12-23 (September 2023)....more
Hughes Hubbard’s “Sanctions in a Snap” provides a clear and concise summary of recent developments from the United States' Office of Foreign Assets Control (OFAC) and is designed to help you quickly assess U.S. economic...more
On February 18, 2026, the SEC staff issued four additional frequently asked questions (FAQs) related to Rule 35d-1 under the Investment Company Act of 1940 (the Names Rule)....more
On March 12, 2026, the 34th Chamber of the Paris Court of Justice issued a significant ruling regarding the duty of vigilance under the French “Duty of Vigilance Law”....more
In Lundin Mining Corp. v. Markowich, 2025 SCC 39, the Supreme Court of Canada clarified how issuers must identify and meet their disclosure obligations regarding “material changes” under Canadian securities laws....more
Prediction markets and event contracts have gone mainstream. Prediction market platforms offer contracts on virtually any event you can imagine, and increasingly advisers and their personnel, including portfolio managers, are...more