Compliance Tip of the Day: Superforecasting
Everything Compliance: Episode 151, The What is Illegal DEI Edition
Daily Compliance News: March 13, 2025, The Uncle Jeffrey Edition
Compliance Tip of the Day: Taming Complexity
Hill Country Podcast: Upcoming Exhibits and Events at the Museum of Western Art
Compliance into the Weeds: More Compliance Challenges in the Trump Era
Great Women in Compliance: Stop, Collaborate, & Listen with Kristy Grant-Hart
Daily Compliance News: March 12, 2025, The Ruth Marcus Resigns Edition
Compliance Tip of the Day: The Last Mile
Everything Compliance, Shout Outs and Rants: Episode 151, The What is Illegal DEI Edition
Innovation in Compliance: Navigating AI Governance in 2025 with Christine Uri
Daily Compliance News: March 11, 2025, The Shift in View Edition
Compliance Tip of the Day: Chatbots in Compliance
FCPA Compliance Report: Eric Morehead on Understanding The Role and Function of The U.S. Sentencing Commission
Daily Compliance News: March 10, 2025, The Measles at Dulles Edition
Episode 359 -- Review of the EU Whistleblowing Directive with Alex Cotoia and Daniela Melendez
Sunday Book Review: March 9, 2025, The Defending the Mind Edition
Because That’s What Heroes Do: Deep Space 9: Ezri Dax, Part 2- Emotional Crossroads in Afterimage
10 For 10: Top Compliance Stories For the Week Ending March 8, 2025
2 Gurus Talk Compliance: Episode 47 – The Chaos Edition
The keenly awaited details of the EU’s proposed first omnibus package were published on 26 February 2025. The package includes amendments to the Corporate Sustainability Reporting Directive (CSRD) (including revision and...more
On February 26, 2025, the EU Commission presented the first part of the Omnibus Simplification Package announced in January 2025. This formal legislative initiative aims to simplify and harmonise existing EU regulations...more
The UK Financial Conduct Authority (FCA) has published the findings of the multi-firm assessment of valuation practices and governance for valuing private equity, venture capital, private debt and infrastructure assets. The...more
The European Banking Authority (EBA) has published a discussion paper on fees to validate pro forma models under the revised European Market Infrastructure Regulation (known as EMIR 3). EMIR 3 requires that counterparties...more
The United States Court of Appeals for the Ninth Circuit, on remand from the United States Supreme Court, unanimously reversed the district court’s denial of a technology company’s (the “Company”) motion to dismiss claims...more
The UK Financial Conduct Authority (FCA) has published a reminder for derivative market participants to update their outstanding derivative reports to comply with the amended reporting requirements introduced in February...more
Alex Barrage, a partner in Troutman Pepper Locke’s Financial Services Industry Group, was quoted in the March 13, 2025 American Banker article, “Banks Are Pushing Back Against Stablecoin Legislation.”...more
The 2025 PLUS D&O Symposium brought together leading voices in the professional liability space to discuss the evolving risks corporate leaders are facing. I was privileged to moderate the panel on securities litigation, a...more
On March 7, the Office of the Comptroller of the Currency (OCC) issued a significant update regarding the involvement of national banks and federal savings associations in cryptocurrency activities. Interpretive Letter 1183...more
The Securities and Exchange Commission (SEC) has issued a no-action letter providing new interpretive guidance on the verification of accredited investor status in offerings conducted under Rule 506(c) of Regulation D, which...more
The American Bar Association held its 40th Annual National Institute on White Collar Crime conference on March 5, 6, and 7, 2025, in Miami, Florida. The conference featured robust panel discussions with the federal and state...more
There are approximately 16,000 companies registered in Bermuda, of which approximately 14,000 are international companies. As a result, Bermuda is a jurisdiction which deals with a large number of corporate governance...more
Yesterday, Acting CFTC Chairman Caroline Pham created a two-week window to bring “reasonable settlement offers” to the commission. Based on my conversations with her and others, I believe the CFTC is in “deal mode” and is...more
Each week of the first 100 days of the new Trump administration, we will publish updates on key federal financial services regulatory and related developments. This week, we review the following developments as of Wednesday: ...more
On March 3, 2025, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance announced significant enhancements to the accommodations available for issuers confidentially submitting draft registration...more
Over the past 25 years, the Cayman Islands has become a pre-eminent jurisdiction for the formation of alternative investment funds, with nearly 13,000 regulated open-ended funds and over 17,000 regulated closed-ended funds....more
In the recently released 2025-2026 Budget, the Hong Kong Government has mentioned that it will further strengthen the city’s role as a leading international financial centre. It extends various favorable policies and reforms...more
Management teams of companies acquired by private equity (PE) firms often find themselves in a unique position. For a time, they are both selling owners and operators who will continue to run the business after the sale....more
Interpretive guidance unlocks general solicitation in Regulation D offerings with user-friendly, bright-line approach. On March 12, 2025, Latham & Watkins obtained SEC Staff guidance on the use of general solicitation in...more
We’ll take the opportunity offered by a (rare) slow week in college athletics legal and regulatory news to further examine public company third-party NIL, assuming House settlement. For the highest-resourced institutions...more
On February 7, 2025, Judge Brett H. Ludwig of the United States District Court for the Eastern District of Wisconsin dismissed a putative class action alleging that an energy product sales company (the “Company”) and its...more
On February 7, 2025, Judge Paul A. Engelmayer of the United States District Court for the Southern District of New York denied a motion for judgment on the pleadings in a putative class action against a cryptocurrency...more
It is widely recognized that deceiving investors is the bread-and-butter of a Ponzi Scheme . However, the term “investors” often conjures images of Shark Tank or Wall Street – and this is far from the type of investor that...more
Just over a year ago, the UK Financial Conduct Authority (FCA) found itself at the centre of strong industry and political feedback when it first published its controversial proposals to ‘name and shame’ firms that it had...more
For early-stage life sciences and health tech companies, raising capital is about more than demonstrating scientific promise. Investors are increasingly focused on regulatory preparedness, reimbursement strategy, and risk...more
