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.
In the recent decision in Re Dropsuite Limited [2025] ATP 10, the Takeovers Panel concluded that a voting intention statement given by a substantial shareholder in the usual form was ‘ambiguous’ as to whether that shareholder...more
Your company is invited by a local meetup group to present at demo day with other startups, and you accept. The group announces the demo day lineup of startups in an e-blast, on its website, on its Facebook page and through...more
Pursuant to the Securities Exchange Act, the Investor Advocate is required to file two reports annually with the Committee on Banking, Housing and Urban Affairs of the Senate and the Committee on Financial Services of the...more
On June 23, the U.S. Department of Justice announced that Terren Scott Peizer, founder of Ontrak Inc., a Miami-based publicly traded health care company, has been sentenced to three and one half years in prison by a...more
The EU has now published its final proposal here (the “SecReg Proposal”) for a regulation amending Regulation (EU) 2017/2402 (“SecReg”). This memo discusses the most notable changes from the 2017 version of SecReg, many of...more
In today’s evolving investment landscape, institutional investors are increasingly seeking innovative structures that align with regulatory requirements while maximizing returns. One such structure gaining traction is the...more
On June 9, 2025, the U.S. Department of Justice (DOJ) released significant new guidance outlining how it will pursue cases under the Foreign Corrupt Practices Act (FCPA), marking a reorientation in U.S. anti-bribery...more
In Chen v. Lyft, the U.S. District Court for the District of Northern California dismissed a federal securities class action lawsuit alleging that a typo in a press release from Lyft constituted securities fraud. The press...more
Japanese regulators have been significantly amending the Financial Instruments and Exchange Act (FIEA), similar to other jurisdictions seeking to innovate and relax regulatory requirements in order to help spur economic...more
The 89th regular session of the Texas Legislature has voted to put some proposed constitutional amendments relating to state taxation on the ballot for the election on November 5, 2025. Let’s take a look....more
As previewed in this May 22 Cooley alert, on Thursday, June 26, the Securities and Exchange Commission (SEC) hosted a roundtable meeting to discuss potential updates to the existing executive compensation disclosure...more
On June 6, 2025, the Ontario Securities Commission (OSC) proposed amendments (Proposed Amendments) to OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions (OSC Rule 48-501) that will, if...more
The European Commission published its proposals for amendments to the EU Securitisation Regulation on 17 June 2025. These proposals are of significant importance for securitisation market participants....more
Last month, I blogged that the PCAOB may be absorbed by the SEC under the budget reconciliation bill that is making its way towards the finish line. In that blog, I indicated that the only thing that might stop the merger of...more
ESMA Publishes Final Report on the Preparation of Securities Prospectuses -On 12 June 2025, the European Securities and Markets Authority (ESMA) published its final report with regulatory technical standards (RTS) for the...more
Momentum continues to build for digital asset policy reform in Washington, with both chambers of Congress taking notable steps to advance legislative efforts. On June 23, the House passed several financial services and...more
Earlier this month, the US Securities and Exchange Commission (SEC) issued a concept release to solicit public comment on potential changes to the definition of a foreign private issuer (FPI), marking the SEC’s first review...more
Following ASIC’s recent discussion paper and symposium on the dynamics between private and public markets, market commentators have expressed concerns regarding the length and complexity of public market transaction...more
This Latham resource allows FPIs with a 30 June fiscal year-end to stay abreast of key SEC filing dates and financial staleness deadlines....more
The SEC’s amended Regulation S-P, adopted last year, will soon enhance data privacy protections for broker-dealers, investment companies, registered investment advisors, and transfer agents. The updated rule requires these...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
It is becoming increasingly likely that the “Guiding and Establishing National Innovation for U.S. Stablecoins Act of 2025’’ (the ‘‘GENIUS Act of 2025’’ or the “Act”) will become enacted and signed into law by the President...more
The FDA began integration of generative AI across all its centers, a project that should be completed by the end of June. Newly appointed chief AI officer, Jeremy Walsh, and Office of Strategic Programs at CDER, Sridhar...more
The European Commission has published a draft Regulation amending Delegated Regulation (EU) 2015/61 on the eligibility conditions for securitisations in the liquidity buffer of credit institutions (the “Draft”)....more
On June 24, Senate Banking Chairman Tim Scott (R-SC), Subcommittee on Digital Assets Chair Cynthia Lummis (R-WY), Senator Thom Tillis (R-NC), and Senator Bill Hagerty (R-TN) released a set of guiding principles for the...more