31 Days to a More Effective Compliance Program: Day 21-Managing 3rd Parties
SBR – Author’s Podcast: Exploring the Future of Work, Ethics, and Compliance with Kelly Monahan, Part 2
Innovation in Compliance: Navigating Accounting and Compliance with Mike Whitmire
Daily Compliance News: January 21, 2025, The Not Real Work Edition
31 Days to a More Effective Compliance Program: Day 20 – Third-Party Risk Management Process
Episode 352 -- Review of 2024 DOJ and SEC Sanctions Enforcement and Compliance
31 Days for a More Effective Compliance Program: Day 19 – Evaluating the Risk Management Process
31 Days to a More Effective Compliance Program: Day 18 – Risk Assessments
10 For 10: Top Compliance Stories For the Week Ending – January 18, 2025
31 Days to a More Effective Compliance Program: Day 17- Podcasting for Compliance
Daily Compliance News: January 17, 2025 – The BitMEX Spanked Yet Again Edition
Launching a Product Too Soon? Lessons From Recent CFPB Orders — The Consumer Finance Podcast
Unpacking the Fifth Circuit's Landmark Tornado Cash Decision — The Crypto Exchange Podcast
Everything Compliance: Episode 147, The Welcome to 2025 Edition
31 Days to a More Effective Compliance Program: Day 16 - Effective and Tailored Compliance Training
Daily Compliance News: January 16, 2025 – The SEC Sues Musk (Again) Edition
31 Days to a More Effective Compliance Program: Day 15 – Monitoring and Improving Internal Controls
Great Women in Compliance: Catherine Razzano on Leading with Passion
Compliance into the Weeds: Navigating Return to Office Policies and Corporate Speak Up Culture
Daily Compliance News: January 15, 2025 – The Corruption is Back Edition
WindRose Health Investors has announced the acquisition of CardioOne. CardioOne, founded in 2022 and based in Houston, is a physician enablement company that serves independent cardiologists....more
On January 8, a complaint was filed in the U.S. District Court for the Southern District of Texas challenging the CFPB’s newly finalized medical debt rule that restricts credit reporting agencies from including medical debt...more
As a lawyer, I’ve heard plenty of lawyer jokes and some of them are amusing. I once said at law school that I now know why lawyers have terrible reputations because I met some of these lawyers at law school. While lawyers...more
The U.K. Short Selling Regulations 2025 (“SSR 2025”) have been made. This paves the way for the U.K. to repeal and replace the regime implemented while the U.K. was in the European Union and then onshored into U.K. domestic...more
When they were introduced in 2017, Unexplained Wealth Orders ("UWOs") were hailed as an important new law enforcement tool, which would allow more robust and effective investigation of the suspected proceeds of crime....more
As the Biden Administration came to a close, the CFPB released a compendium of guidance documents issued by the bureau between October 2021 and January 2025....more
As public company issuers prepare for the 2025 reporting season, issuers should be reminded (or made aware) of the new executive compensation-related disclosure requirements. On December 14, 2022, the Securities and Exchange...more
Key Points - - The incoming Trump administration is expected to take a more lenient approach to prosecuting entities, reducing emphasis on bringing actions based on what may be viewed as novel theories. - Prescriptive...more
Key Points - - Many of the tax reform suggestions President-elect Trump floated during the campaign would result in significant revenue loss, which could mean they will face resistance from Republicans concerned about...more
Welcome to your weekly update from the A&O Shearman pensions team, covering all the latest legal and regulatory developments in the world of workplace pensions. Government confirms continuation of clearing exemption - ...more
Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days series in January 2025, I will post a key part a best practices compliance program each...more
Welcome to the Sunday Book Review, The Authors Podcast! Host Tom Fox visits with authors in the compliance arena and beyond in this Podcast Series. Today, Tom is joined by his good friend and colleague, Earnie Broughton...more
Innovation comes in many areas, and compliance professionals must be ready to embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation...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 a cup of morning coffee, and listen in to the Daily Compliance...more
NIS2 (Network and Information Systems Directive 2) is the updated version of the NIS Directive, which the EU first introduced in 2016. The original NIS Directive aimed to enhance cybersecurity across member states by...more
In this weekly update, we summarise the most notable updates in the UK sanctions world. If you have any questions in respect of any of the developments set out below, please do not hesitate to contact a member of our London...more
On 14 January 2025, the Securities and Exchange Commission (SEC) announced settled charges against three investment adviser representatives for acting as unregistered brokers in the sale of membership interests in certain...more
Beginning 17 January 2025, the Digital Operational Resilience Act (DORA) will apply to almost all EU financial entities, including banks, insurers and reinsurers, brokers , payment and electronic money institutions,...more
Will the Consumer Financial Protection Bureau’s (CFPB) recently promulgated open banking rule survive under the new Congress and incoming presidential administration? Two upcoming proceedings may hold the answer....more
On January 14, 2025, the American Fintech Council (AFC) submitted a letter to the Ohio Department of Financial Institutions, urging it to re-examine its recent guidance on responsible bank partnerships and provide more...more
With the inauguration of US President Trump on January 20, 2025, public companies await the impact of the new administration on the US Securities and Exchange Commission ("SEC"). President Trump's pick for the next SEC Chair,...more
Throughout 2024, our leading real estate practice has solidified its presence in the Polish market. We have supported our clients in numerous high-profile transactions, reflecting our expertise and unwavering commitment to...more
The European Securities and Markets Authority has launched the first selection procedure for the Consolidated Tape Provider for bonds. The CTP aims to enhance market transparency and efficiency by consolidating trade data...more
In response to global uncertainty the Bank of England’s Prudential Regulation Authority (PRA) has further delayed the implementation of the Basel 3.1 standards in the UK to 1 January 2027. This delay comes just four months...more
On January 13, 2025, the CFPB announced a proposed rule aimed at prohibiting companies from including in consumer agreements terms that operate to waive consumers’ legal rights, allow companies to unilaterally change key...more