Episode 366 -- DOJ Issues Data Security Program Requirements
Sunday Book Review: April 27, 2025, The Books on Business for May Edition
Because That’s What Heroes Do: Deep Space 9 – Episode 30: Deep Trek Themes from Tacking into the Wind
10 For 10: Top Compliance Stories For the Week Ending April 26, 2025
Compliance and AI: Transforming Compliance Through AI with Marcelo Erthal
Compliance Tip of the Day: The Future of Continuous Monitoring
FCPA Compliance Report: Ellen Hunt on Compliance ROI and on a Due Diligence and the US Sentencing Guidelines
Daily Compliance News: April 25, 2025, The Trouble in Travel Edition
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What are the Different Ways Securities Can Be Offered and Sold? (Part 1)
Compliance Tip of the Day: Leveraging AI for Real-Time Third-Party Risk Management
FCPA Compliance Report: Amanda Carty on a Due Diligence and Risk Management
Innovation in Compliance: Design-Centric Compliance Training with Karen Oddo
Navigating the Future of Payment Stablecoins: Legislative Updates and Market Implications — The Crypto Exchange Podcast
Daily Compliance News: April 24, 2025, The Made in Malaysia Edition
Compliance Tip of the Day: AI and Predictive Analytics
FCPA Compliance Report: Kristy Grant-Hart on A 360° Review of the Future of Compliance
Great Women in Compliance: Creating Space to Speak Up: The Story Behind Psst.org
Daily Compliance News: April 23, 2025, The R-E-S-P-E-C-T Edition
Exploring the Administration's Regulatory Impact on Private Equity — PE Pathways Podcast
Compliance Tip of the Day: Embedded Compliance
Last Friday, California headquartered Affirm Holdings, Inc. filed preliminary proxy materials for a special meeting of stockholders to consider a proposal to reincorporate from Delaware to Nevada. Affirm is joining several...more
While the House and Senate were out of session for the last two weeks, federal financial regulators and legislators took a wide range of actions impacting the future of digital asset policy. Senate Banking Chair Tim Scott...more
Could your routine data transfers now violate federal law? The DOJ’s new Data Security Program (DSP) targets the flow of U.S. sensitive personal and government data to foreign adversaries — and the clock is ticking. In this...more
In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious. These could be books about business, compliance, history, leadership,...more
In this season’s exploration, Tom and Megan are joined by Star Trek maven Alex Murphy (Murphy) from Montreal. Murphy is a local historian, cinema, and TV fan who loves weird foreign films, all things horror, and obscure...more
Welcome to 10 For 10, the podcast which brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance brings to you, the compliance professional, the compliance stories you need to...more
The Canadian Securities Administrators (“CSA”) recently announced measures to support the competitiveness of Canadian capital markets in response to the current uncertainty in global markets. The measures are being...more
The last two weeks have seen federal agencies continue refining their approach to the digital asset industry, while state regulators are beginning to play a more prominent role—even as the overall pace of development appears...more
The term “whistleblower” generally refers to a person who anonymously reports suspected corporate misconduct to their employer or to law enforcement or regulatory authorities. This article focuses primarily on current...more
On March 6, 2024, the Securities and Exchange Commission (SEC) issued new rules aimed at standardizing climate-related disclosures by public companies. Commonly known as the SEC climate disclosure rules, they require...more
The Luxembourg Stock Exchange (“LuxSE”) introduced a new platform, the Euro MTF Specialist Securities Segment (“EM3S”), on which issuers are able to offer more sophisticated securities to professional investors while being...more
As we previously reported, in February, the CFTC’s DOE issued an enforcement advisory (the DOE Advisory) to provide guidance to market participants on how the DOE will evaluate a company’s or an individual’s conduct in the...more
Three months into the life of the U.S. Securities and Exchange Commission’s Crypto Task Force, the SEC staff has begun taking tangible steps to define its evolving approach to the regulation of digital assets. In a series of...more
In Craig v. Target Corporation, et al., the District Court for the Middle District of Florida considered whether Target Corporation (Target) committed securities violations by failing to disclose risks related to an ESG and...more
The Q1 2025 edition of the Public Company Watch highlights critical updates and regulatory changes affecting public companies. Staying informed on these topics is crucial for effective compliance and strategic planning....more
On April 17, 2025, the Commodity Futures Trading Commission's ("CFTC") operating divisions ("Divisions") provided guidance in an advisory on the criteria they will use when determining whether to refer self-reported...more
On April 21, Paul Atkins was sworn in as Chairman of the SEC. He returns to the SEC from the private sector. Chairman Atkins is a securities lawyer who previously served on the SEC staff and as an SEC Commissioner from...more
On April 10, 2025, the SEC’s Division of Corporation Finance (the Division) released a statement providing its views on disclosure requirements for Offerings and Registrations of Securities in the Crypto Asset Markets....more
The Staff noted that a stablecoin generally is not subject to SEC jurisdiction if it is not an investment and used solely for commercial activity....more
Read our latest insights into the U.S. private equity market. We cover monthly deal activity and size, fundraising, exits, leveraged loans, and a look ahead. The drop in March deal count pushed Q1 deal count to the lowest...more
Oregon AG Dan Rayfield has filed a lawsuit against cryptocurrency trading platform Coinbase, alleging that the company failed to protect consumers from unregistered and high-risk cryptocurrencies in violation of Oregon...more
The UK Financial Conduct Authority (FCA) has published a consultation paper (CP) proposing the removal of reporting and notification requirements as part of its strategy to prevent unnecessary collection of data to reduce...more
Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
In this episode of the Diligent Compliance Week 2025 Speaker Preview Podcasts series, Ellen Hunt discusses her two presentations at Compliance Week 2025, “Culture Effectiveness and ROI: How to Move the Needle” and “Assessing...more
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy morning coffee, and listen to the Daily Compliance News. All, from the...more