Daily Compliance News: July 11, 2025, The What is a COI Edition
Nonprofit Basics: Conflict of Interest Policies and Best Practices for Approving Insider Compensation
Nonprofit Basics: Insider Transactions and Nonprofits – What’s the Big Deal?
Conflicts of Interest in Healthcare and Elsewhere
Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Bar Exam Toolbox Podcast Episode 124: Listen and Learn -- Duty of Loyalty (Corporations)
Law School Toolbox Podcast Episode 282: Listen and Learn -- Duty of Loyalty (Corporations)
What to Do When Your University, FBI, or DOJ Knocks on Your Door: Responding to University, Criminal, and Civil Investigations
Videocast: Asset management regulation in 2020 videocast series – The ADV season
Videocast: Asset management regulation in 2020 videocast series – DOL: What’s ahead
Podcast: Credit Funds: Compliance Considerations for Valuation
CONVERGE18-Preview Podcasts-David Bunker on COIs in the Gig Economy
Podcast - Credit Funds: A Framework for Addressing and Mitigating Conflicts of Interest
Day 7 of One Month to Better Investigations and Report-How Investigations Inform Remediation
Day 15 of One Month to Better Compliance Through HR-Employment Separation Issues
Bill Beutler on Editing Wikipedia
Rules for rewarding 'super' condo board members
Bill on Bankruptcy: US Airways Need a Merger More than AMR
Addressing the many compliance risk areas with a standardized taxonomy is critical for risk and compliance leaders for several reasons. First, defining compliance risks using the standardized Risk Categories and Risk Types...more
The US Court of Appeals for the Federal Circuit found that an administrative patent judge’s (APJ) recusal in an inter partes review (IPR) based on ownership of stock in one of the defendant’s corporations in an amount below...more
Private fund managers and investors have long been haunted by the risk of a “zombie” fund: an investment vehicle that lasts well past its initial term, potentially creating regulatory risk. While every situation will present...more
On August 25, 2025, the Department of Defense (DOD) issued a final rule amending the Defense Federal Acquisition Regulation Supplement (DFARS) to prohibit the award of contracts to offerors with conflicts arising from...more
In today’s dynamic funding environment, strategic investors and corporate venture capital (CVC) arms have become increasingly prominent players in the UK and global startup ecosystem. Unlike traditional financial VCs,...more
On October 24, 2025, the Department of Defense (DoD) DFARS Case 2024-D007 (“the final rule”) goes into effect, which amends the Defense Federal Acquisition Regulation Supplement (DFARS) to address national security concerns...more
What is the legal framework governing bribery in Canada? - The Criminal Code and the Corruption of Foreign Public Officials Act (the CFPOA) are the primary pieces of legislation governing bribery in Canada. The Criminal...more
In the high-stakes world of startups, securing capital can often feel like navigating a labyrinth. But what happens when the path leads to a down round? As economic pressures mount, many entrepreneurs face this challenging...more
Grounded in the OIG’s General Compliance Program Guidance and DOJ’s Evaluation of Corporate Compliance Programs, our immersive, three-and-a-half-day, classroom-style Healthcare Basic Compliance Academy equips compliance...more
RECENT LOBBYING, ETHICS & CAMPAIGN FINANCE UPDATES - Campaign Finance & Lobbying Compliance California: Gov. Gavin Newsom signed AB 1167, a bill prohibiting California utilities from charging customers for lobbying and...more
As artificial intelligence (AI) systems such as ChatGPT and other generative tools gain traction across the financial services industry, investment advisers are increasingly exploring ways to leverage AI in their operations....more
ASIC’s Report on private credit provides a look into regulators likely focus -ASIC has published a report providing a high-level review of the private credit market in Australia. Entitled “Private credit in Australia”, REP...more
One promise Donald Trump made while campaigning for a second term last fall concerned his plan to name Robert F. Kennedy Jr. as Health and Human Services secretary. As he told a Madison Square Garden rally: “I’m going to let...more
Introduction - On 29 September 2025, the US Securities and Exchange Commission (SEC) issued notice of an exemptive application filed by Dimensional Fund Advisors LP, et al. (Dimensional) seeking relief (Relief) to offer...more
The FAR Council continues its systematic effort to modernize and streamline the Federal Acquisition Regulation (FAR). Following the initial release of revisions to FAR Parts 7, 24, and 44. ...more
In Peraton Inc., B-423639 (September 17, 2025), Peraton Inc. protested the General Services Administration’s award of a task order to General Dynamics Information Technology (GDIT) for IT lifecycle support services at U.S....more
The Federal Acquisition Regulatory Council (FAR Council) released its Spring 2025 regulatory agenda as part of the government-wide Unified Agenda of Regulatory and Deregulatory Actions, unveiling a slimmed-down list of...more
On August 15, 2025, the Securities and Exchange Commission (SEC) announced settled charges against an investment adviser to the private funds that it managed with breaching its fiduciary duty by overcharging management fees...more
When most people think about ERISA lawsuits, the usual suspects are plan sponsors. They’re the fiduciaries who pick the investments, hire the service providers, and have the crosshairs on their backs when plaintiffs’ firms go...more
The FAR Council is undertaking a systematic approach to revising the FARs. On September 11, 2025, it released its revisions to FAR Part 3, Improper Business Practices and Personal Conflicts of Interest, FAR Part 17, Special...more
Startups run lean—money, time and deep expertise are often in short supply. But seasoned entrepreneurs who have built and exited companies can be a powerful asset—if engaged the right way....more
On September 4, 2025, the U.S. Securities and Exchange Commission (SEC) brought its first enforcement action under the Marketing Rule since Chair Paul Atkins was sworn in earlier this year—charging Meridian Financial, LLC...more
In 2007, the Securities and Exchange Commission (SEC of the Commission) adopted Advisers Act Rule 206(4)-8 prohibiting an investment adviser from making false or misleading statements to, or otherwise defrauding or deceiving,...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from August 2025. ...more
Who may be interested: Registered Funds, Registered Investment Advisers, Registered Broker-Dealers, Compliance Staff, Boards of Directors. Quick Take: On August 29, 2025, the SEC, in separate actions, sanctioned a registered...more