Everything Compliance: Episode 153, The CW 25 Edition
Navigating the Future of Payment Stablecoins: Legislative Updates and Market Implications — The Crypto Exchange Podcast
Daily Compliance News: April 22, 2025, The Upping Your Game Edition
Daily Compliance News: April 9, 2025, The Corruption at the DOJ Edition
10 For 10: Top Compliance Stories For The Week Ending April 5, 2025
Daily Compliance News: April 4, 2025, The Tariffs on Penguins Edition
Daily Compliance News: April 3, 2025, The Tribute to Ice Edition
Great Women in Compliance: The Future of Enforcement with Jennifer Lee
Regulatory Ramblings: Episode 65 – The Trump Administration’s Decision to Halt FCPA Enforcement – The Implications for Asia and the World with Tom Fox, Malcolm Nance, and Philip Rohlik
Navigating 2025: The SEC's Evolving Role in Cryptocurrency Enforcement — The Crypto Exchange Podcast
The SEC's Reach Beyond Publicly Traded Companies
Everything Compliance: Episode 151, The What is Illegal DEI Edition
Everything Compliance, Shout Outs and Rants: Episode 151, The What is Illegal DEI Edition
Fintech Focus Podcast | Crypto 2.0: What’s Next in the US?
Episode 351 -- Deep Dive into the AAR FCPA Settlement
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public Offerings?
Episode 345 -- Raytheon Pays $950 Million to Resolve Fraud, FCPA, ITAR and False Claims Act Violations
Effective Compliance Training
A Conversation with SEC Commissioner Hester Peirce
Navigating the Dark Side of Crypto: Crime, Compliance, and Consumer Protection – The Crypto Exchange Podcast
Key Points - - During its 2024 term, the U.S. Supreme Court is poised to provide important guidance on the Private Securities Litigation Reform Act’s (PSLRA’s) particularity requirement in NVIDIA Corp. v. E. Ohman J:or...more
Cyberattacks continue to plague businesses, making the fallout of data breach notification and response as critical as ever. This year, like 2021, has been relatively quiet as it relates to state updates to breach...more
A new discourse in the cyber risk management landscape of US public companies is here. This past March 2022, the US Securities and Exchange Commission (SEC) added another item to their to-do list by announcing a...more
Key Wireless Deadlines- SEC Requests Comment on Cybersecurity Reporting Requirements: The Securities and Exchange Commission (SEC) is proposing rules to enhance and standardize disclosures regarding cybersecurity risk...more
A House Judiciary Committee is calling on the DOJ to “investigate Amazon and some of its executives for criminal obstruction of a congressional investigation that included the e-commerce giant.” At issue is the ‘Zon’s alleged...more
Welcome to B-Day, the beginning of the grand cryptocurrency experiment for El Salvador, which “became the first country in the world to adopt bitcoin as legal tender on Tuesday.” Predictably, “the launch got off to a bumpy...more
NY AG Letitia James is suing Amazon, accusing the online retail giant “of not doing enough to protect workers in the state from the coronavirus” and calling its response to the pandemic “deficient.” ...more
The FAA has once again given Boeing the green light to send its troubled 737 Max models into the sky, “20 months after it was grounded following two fatal crashes blamed on faulty software and a host of company and government...more
Over the past eight months of this pandemic, we have all seen the rise of e-commerce as a vital necessity for most companies. For many companies, e-commerce has significantly outperformed their existing sales channels and...more
JPMorgan is preparing to finalize a deal with federal prosecutors and regulators in which the bank would pay nearly $1 billion to “settle civil and criminal charges that its traders rigged futures and securities markets”...more
Walmart is again preparing to roll out its answer to Amazon Prime: Walmart+, a sub-$100/year membership service that features gas discounts and some free shipping (at qualifying thresholds)....more
Here’s about as 2019 as we can get in the financial world (with a healthy dose of 1950s-era gender discrimination for good measure): a series of tweets from tech entrepreneur David Heinemeier Hansson alleging gender...more
There’s some surprise market wheeling and dealing afoot this morning. The Hong Kong stock exchange has offered to buy its London counterpart as part of a deal valued at $37 billion that would connect “the established...more
Treasury Secretary Steven Mnuchin is the latest prominent government official to express concerns about Facebook’s coming Libra launch. Speaking at a briefing yesterday, Mnuchin focused on national security issues related to...more
U.S. Developments - Regulatory Updates - SEC Files Enforcement Action Against Alleged Fraudulent Cryptocurrency Pyramid Scheme - On May 22, the Securities and Exchange Commission (“SEC”) filed a complaint in the U.S....more
U.S. Developments - Regulatory Updates - Arca Investment Management Files With SEC to Issue Stablecoin - Arca Investment Management, a California-based investment management firm specializing in digital assets, filed an...more
Shared workspace giant We Work is joining the growing wave of major start-ups planning to go public this year. And like many of its unicorn peers (as we’ve documented), the company “shows no sign of turning a profit anytime...more
The US and China have scheduled two more rounds of high-level trade talks with hopes for an agreement between the economic superpowers by late April, even as China has begun to push back against some of the US’s major...more
Warner Bros. studio division chief—part of AT&T’s recently acquired media empire—has “stepped down after accusations surfaced that he had pushed for a woman with whom he had a sexual relationship to be considered for roles in...more
Google is facing a federal lawsuit in San Francisco over last week’s AP investigation that showed that the search giant “was sill tracking iPhone and Android device users, even if they turned off the ‘Location History’...more
JPMorgan has agreed to pay $65 million to US authorities [in the form of the CFTC] to resolve allegations that its traders attempted to manipulate the benchmark rate known as ISDAfix....more
The latest from the Redstone/CBS dispute, with news late yesterday that even as Shari Redstone is “moving to block CBS Corp.’s efforts to strip her family of voting control”, a Delaware judge has temporarily blocked her from...more
The SEC has opened a probe into Guggenheim Partners’ asset-management arm over an $85-million real-estate transaction and a series of other deals involving ABS Capital—including a loan to BCBG Max Azria just months before the...more
Just days after profiled Walmart’s efforts to keep pace with Amazon in the grocery biz, a whistleblower and former WM director of business development is accusing Walmart of issuing “misleading e-commerce results” and...more
Heath insurance behemoth Cigna has agreed to buy Express Scripts—a “pharmacy benefits manger”—for $67 billion in cash and stock, including assuming $15 billion of its debt. The merger is one of a series of big moves in the...more