10 For 10: Top Compliance Stories For the Week Ending June 28, 2025
Compliance Tip of the Day: COSO Objective 5 – Monitoring Activities
Episode 30 - Inaugural Episode with Ian Sherr: Compliance Week’s Insights and Reflections from June to July 2025
Compliance Tip of the Day: COSO Objective 4 - Control Information and Communication
Everything Compliance: Episode 156, To Document or Not Edition
Daily Compliance News: June 26, 2025, The? Matt Galvin Honored Edition
Regulatory Ramblings: Episode 72 - Cultural Roots, Belonging, and the Fear of Change: What’s Next for Inclusion?
Great Women in Compliance: GWIC X EC Q2 2025 - Exploring Compliance Innovations
Compliance into the Weeds: Boeing’s New Safety Initiatives and Compliance Reforms
Compliance Tip of the Day: COSO Objective 3 – Control Activities
Daily Compliance News: June 25, 2025, The PCAOB Elimination Hits Roadblock Edition
Upping Your Game: Crowd - Sourcing Risk Management Intelligence with AI
Everything Compliance: Shout Outs and Rants: Episode 156
Compliance Tip of the Day: COSO Objective 2 - Risk Assessment
SBR-Authors Podcast: Unconditional Values in Leadership and Compliance with Andy Crocker
Innovation in Compliance: LeadHERship with Linda Fisk
Daily Compliance News: June 24, 2025, The Questions, Questions, and More Questions Edition
Adventures in Compliance: The Sign of Four – Holmes Revealed: Communication and Training Insights
Compliance Tip of the Day – COSO Objective 1 – Control Environment
#Risk New York Speaker Series – Bridging the Gap: Effective Risk Communication in Compliance with Rob Clark, Jr.
It’s been an eventful stretch in crypto law and regulation. The Senate passed the GENIUS Act — the first major federal crypto bill to clear the chamber’s 60-vote threshold needed to overcome a filibuster — which would...more
Following the making of a winding-up order by the Hong Kong Court, a provisional liquidator or a liquidator can decide whether to apply to the Hong Kong Court for appointment of certain creditors and contributories to form a...more
The UK Government has published a policy paper outlining its industrial strategy. The strategy centres around eight priority sectors (the IS-8), including financial services. The UK government's ambition is to establish the...more
On June 12, 2025, the Securities and Exchange Commission (SEC) withdrew 14 outstanding proposed regulations issued during the Biden Administration. These withdrawals underscore a dramatic priority shift away from regulation...more
The report outlines the advantages and potential risks associated with AI, while also offering insight into current regulatory perspectives on its use. The GAO’s findings have been shared with the SEC and could influence...more
The European Securities and Markets Authority (ESMA) has launched a call for evidence (CfE) as part of its Data Strategy to gather feedback on how to simplify and streamline supervisory reporting. The aim is to reduce the...more
We’ve recently been made aware of an increase in anonymous hoax emails and online reports posted to multiple companies through their internal reporting systems. The wording of these posts were identical and alleged violation...more
As noted in the April edition of this newsletter, the FCA consulted in February 2024 and November 2024 on proposed measures to update and streamline its enforcement guide and to increase transparency in how it goes about...more
On 30 June 2025, the European Securities and Markets Authority (ESMA) published its Final Report on the 2023-2024 Common Supervisory Action (CSA) concerning the integration of sustainability risks and disclosures within the...more
On June 30, the U.S. Supreme Court agreed to hear a case that will determine whether Section 47(b) of the Investment Company Act of 1940 (ICA) creates a private right of action for shareholders of registered investment...more
Unlike Europe’s comprehensive General Data Protection Regulation framework, the United States still lacks an all-encompassing data privacy statute. Instead, data centers operating in the United States must navigate a complex...more
In 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments and issued guidance to modernize the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act...more
Much attention has been paid to the regulatory and customer protection provisions of the proposed Guiding and Establishing National Innovation of US Stablecoins Act, the so-called GENIUS Act, S. 1582 (the proposed Act)....more
Welcome to our EU crypto update - a roundup of key Irish and EU legislative and regulatory developments shaping the crypto-assets sector....more
The Securities & Exchange Commission (SEC) recently made certain announcements that reflect the current administration’s reduced emphasis on climate-related financial regulation. First, the SEC withdrew a proposed rulemaking...more
The Financial Action Task Force (FATF) has updated its listings of jurisdictions under increased monitoring (the “grey list”) and high-risk jurisdictions subject to a call for action (the “black list”). Our Investment Funds...more
On June 26, 2025, the Securities and Exchange Commission (SEC) hosted a roundtable on executive compensation disclosure requirements with representatives from public companies, investors, industry groups and advisors. In his...more
Companies are increasingly viewing bitcoin and other cryptocurrencies as strategic reserve assets, establishing dedicated corporate entities to hold cryptoassets on their balance sheets and raising capital specifically to...more
A bond is a debt obligation issued by a corporation or government for funding purposes. When investors buy a corporate bond, they are lending money to the corporation in return, in most cases, for the right to receive...more
The European Securities and Markets Authority (ESMA) has issued a public statement on its intended approach to supervision of the European Sustainability Reporting Standards (ESRS), confirming its commitment to transparent...more
On June 24, 2025, Judge Aleta A. Trauger of the Middle District of Tennessee granted a motion to dismiss a putative securities class action brought against a discount retailer chain (the “Company”) and certain of its...more
The European Securities and Markets Authority (ESMA) has launched the first selection procedure for a consolidated tape provider (CTP) for shares and exchange-traded funds. The selection process will be guided by the...more
On June 23, 2025, Judge Araceli Martínez-Olguín of the Northern District of California granted a motion to dismiss a consolidated securities class action brought against a footwear and apparel company (the “Company”) and...more
On June 26, the Securities and Exchange Commission hosted a roundtable discussion about potential changes to existing executive compensation disclosure requirements. In the lively discussion, panelists representing issuers,...more
The funds industry continues to wait for regulators and legislators to review and fix the multiple flaws in the existing SFDR regime. In the meantime, in July 2023, ESMA launched a “common supervisory action” ("CSA”)...more
