Episode 398 -- Anik Shah, SanDisk Head of Compliance: Anti-Corruption Developments and Managing Risks
Turning Point for Digital Assets: 2025 Year in Review and What Comes Next — The Crypto Exchange Podcast
Podcast - Victories and "Losses" in the Courtroom
Podcast - Finding Humor in Law
Block & Order | Building on Layer 1 with Jennie Levin: Algorand, Policy Shifts & Tokenization’s Future
12 Days of Regulatory Insights: Day 12 – The SEC Reset — Regulatory Oversight Podcast
Daily Compliance News: October 29, 2025, The CEO No-No Edition
10 For 10: Top Compliance Stories For the Week Ending October 18, 2025
Daily Compliance News: October 17, 2025, The Decoupling Edition
Navigating the New Frontier of Digital Assets and Tokenization — The Crypto Exchange Podcast
10 For 10: Top Compliance Stories For the Week Ending October 4, 2025
Going Nuclear – Private Equity Trends in US Energy — PE Pathways Podcast
Daily Compliance News: October 1, 2025, The Q4 Edition
LathamTECH in Focus: Are Tokenized Securities Different From Traditional Securities?
FCPA Compliance Report - Whistleblowing in 2025 - Insights from Mary Inman
Daily Compliance News: September 19, 2025, The Enron Still Toxic Edition
Daily Compliance News: September 16, 2025, The End of Quarterly Reporting Edition
Decoding Crypto Legislation: GENIUS Moves and Clarity Paths — The Crypto Exchange Podcast
Conversation with Former SEC Chief Economist Dr. Jessica Wachter on Investment Management Rulemaking at the Commission – PE Pathways Podcast
Institutional Adoption, Tax Challenges, and What's Next for Crypto in the US — Insights from KPMG's Tony Tuths - The Crypto Exchange Podcast
On May 19, 2026, President Trump issued Executive Order 14405, titled “Integrating Financial Technology Innovation Into Regulatory Frameworks.” The executive order establishes a policy of the United States to “streamline...more
On 9 June 2026 the SEC Division of Examinations published its second risk alert since Atkins became chair. The Risk Alert reminds investment advisers of their fiduciary obligation to disclose economic conflicts of interest...more
On May 19, 2026, the Securities and Exchange Commission (SEC) issued proposed amendments to its public company reporting framework to extend disclosure scaling and other accommodations, which are currently available only to...more
In a unanimous decision issued June 4, 2026 in Sripetch v. SEC,1 the U.S. Supreme Court held that the U.S. Securities and Exchange Commission (SEC) may obtain disgorgement without showing that any victim suffered pecuniary...more
Effective June 29, 2026, the SEC is increasing the dollar-based thresholds that define a “qualified client” in Rule 205-3(d) (Rule) under the Investment Advisers Act of 1940 (Advisers Act). The SEC is required to adjust these...more
On May 19, 2026, the Securities and Exchange Commission proposed two sets of amendments—one expanding the accessibility of smaller reporting companies to financing opportunities and the other simplifying the reporting...more
The Risk Alert emphasizes the staff’s focus on advisers’ economic incentives to recommend certain products, services, or account types and potential inconsistencies in fee calculations....more
On June 4, 2026, the United States Supreme Court issued its much-anticipated opinion in Sripetch v. SEC concerning the scope of the SEC’s disgorgement authority. The Court unanimously held that the SEC can seek disgorgement...more
On June 11, 2026, the Supreme Court issued its decision in FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd., No. 24-345, holding that Section 47(b) of the Investment Company Act (ICA) does not create a private...more
Since the SEC stopped substantively responding to Rule 14a-8 no-action requests, shareholders are increasingly turning to litigation to challenge the exclusion of their proposals from company proxy materials. Once...more
Under Chairman Paul Atkins, the U.S. Securities and Exchange Commission (SEC) has recalibrated to a “back to basics” philosophy of prioritizing investor protections and core market-integrity violations. Two recent insider...more
On June 4, 2026, the United States Supreme Court handed down a 9-0 decision in Sripetch v. Securities and Exchange Commission, No. 25-466, affirming that proof of pecuniary loss to victims of securities law violations is not...more
On June 9, 2026, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) issued a risk alert (“Risk Alert”) summarizing examination findings concerning SEC-registered investment advisers’ duty...more
On June 3, the CFTC announced that it rescinded its policy, codified in Appendix A to Part 10 of its rules of practice, under which the CFTC would not accept settlement offers in an administrative or civil proceeding where a...more
Following the SEC’s determination to seek public comments regarding Cboe’s proposed Rule 8.23 governing disruptive trading practices (Proposed Rule), both the Securities Industry and Financial Markets Association (SIFMA) and...more
On 4 June 2026, the Supreme Court unanimously decided Sripetch v. SEC, ruling that the SEC does not need to prove that victims of a securities law violation suffered pecuniary loss to obtain disgorgement....more
In this episode of Regulatory Oversight, co-host Stephen Piepgrass sits down with Jay Dubow and Ghillaine Reid, co-leaders of the firm's Securities Investigation + Enforcement practice, to explore how the SEC's enforcement...more
Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption developments from the past month, with links to...more
The SEC has issued an order adjusting for inflation the dollar amount thresholds for qualified client status under Rule 205-3 of the Investment Advisers Act of 1940 (Advisers Act), which takes effect on June 29, 2026.1 The...more
The United States Supreme Court issued its unanimous decision in Sripetch v. Securities and Exchange Commission on June 4, 2026, holding that the U.S. Securities and Exchange Commission (SEC) may obtain disgorgement in...more
The U.S. Securities and Exchange Commission (SEC) recently proposed two landmark rulemakings – Registered Offering Reform and Reporting Framework Simplification – that, if adopted, fundamentally would reshape the regulatory...more
On May 19, the Securities and Exchange Commission (SEC) proposed amendments to simplify its filer status framework by: (1) consolidating filer status categories; (2) raising the large accelerated filer public float threshold...more
On May 19, the Securities and Exchange Commission (SEC) proposed a sweeping set of reforms designed to modernize and simplify the framework governing registered securities offerings by public companies....more
On June 2, 2026, the SEC released its Draft Strategic Plan (the “Plan”) for FY 2026–2030 and opened a 30-day public comment period, closing July 2, 2026. The Plan, developed with input from Congress, investors, and the SEC’s...more
Effective May 21, 2026, the Securities and Exchange Commission has rescinded a rule that governed settlements in judicial or administrative enforcement proceedings....more
