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[Video] 31 Days to a More Effective Compliance Program: Day 29 - Enhancing Compliance through Automation
Welcome to 31 Days to a More Effective Compliance Program. Over this 31-day series in January 2026, Tom Fox will post a key component of a best-practice compliance program each day. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, with three key takeaways that you can implement at little or no cost to help update your compliance program. I hope you will join each day in January for this...By: Thomas Fox - Compliance Evangelist
FSB 2025 Resolution Report
The Financial Stability Board (FSB) has published its 2025 resolution report outlining global progress in implementing resolution reforms for banks, insurers and financial market infrastructures, and setting priorities to further strengthen global resolution frameworks and crisis preparedness in 2026. The report confirms that foundational resolution frameworks are largely in place and highlights progress of ongoing work to strengthen operational readiness, including the publication of a...By: A&O Shearman
[Audio] New Jersey's Big Bet on Disparate Impact: What the AG's New Rules Mean for Lenders and AI — Regulatory Oversight Podcast
In this special crossover episode of Regulatory Oversight and The Consumer Finance Podcast, Chris Willis is joined by colleagues Lori Sommerfield and Matthew Berns to discuss New Jersey's sweeping new disparate impact regulations under the Law Against Discrimination. They break down one of the most comprehensive state-level disparate impact rules in the U.S., the contrasts with traditional federal standards, and implications for enforcement in financial services. The discussion dives into credit...By: Troutman Pepper Locke
[Audio] New Jersey's Big Bet on Disparate Impact: What the AG's New Rules Mean for Lenders and AI — The Consumer Finance Podcast
In this special crossover episode of The Consumer Finance Podcast and Regulatory Oversight, Chris Willis is joined by colleagues Lori Sommerfield and Matthew Berns to discuss New Jersey's sweeping new disparate impact regulations under the Law Against Discrimination. They break down one of the most comprehensive state-level disparate impact rules in the U.S., the contrasts with traditional federal standards, and implications for enforcement in financial services. The discussion dives into credit...By: Troutman Pepper Locke
[Video] AI Today in 5: January 29, 2026, The AI Has Competitive Advantage Edition
Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider five stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI. Top AI stories include: • Turning AI governance into a competitive advantage....By: Thomas Fox - Compliance Evangelist
[Video] Daily Compliance News: January 29, 2026, The £2M at Harrod’s Edition
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 News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional. Top stories include: • Tyson to pay $48MM for price-fixing. (Reuters):...By: Thomas Fox - Compliance Evangelist
The New York LLC Transparency Act Became Effective January 1, 2026
New York has implemented a new beneficial ownership reporting regime (the “New York LLC Transparency Act” or “NYLTA”), effective January 1, 2026, which only applies to limited liability companies (“LLCs”) that were formed outside the United States and have registered to do business with the New York Department of State....By: Hinckley Allen
SEC Staff Publishes New Marketing Rule FAQs
On January 15, 2026, the staff of the Division of Investment Management (the “staff”) of the Securities and Exchange Commission (the “SEC”) updated its Marketing Compliance-Frequently Asked Questions (“FAQs”) to include two new FAQs on Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Marketing Rule”). The first new FAQ addresses the use of “model” advisory fees versus “actual” advisory fees in calculating performance, and the second addresses potential self-regulatory,...By: Mayer Brown
Treasury Dusts Off the Rulebook for Sovereign Wealth Funds
Late in 2025, Treasury and the IRS released a guidance package under Section 892 of the Internal Revenue Code, which exempts foreign governments—including sovereign wealth funds—from tax on certain income derived from passive U.S. investments. The package includes both final and proposed regulations addressing key interpretive questions....By: Cadwalader, Wickersham & Taft LLP
SEC Enforcement Highlights Fiscal Year 2025
Shifts in SEC enforcement are typical with new presidential administrations, particularly with a change in the political party. But never have those shifts been as dramatic as those we witnessed in fiscal year 2025. Through the end of the first quarter of FY 2025, former SEC Chair Gensler and his senior leadership team zealously pursued non-fraud violations, imposed punishing monetary sanctions and closed out their tenure by issuing an unprecedented press release the Friday before Inauguration...By: Haynes Boone
Déductibilité fiscale des honoraires d'avocats afférents à une opération de LBO
Le Conseil d'Etat confirme la déductibilité en matière d'IS et de TVA des frais d’avocat engagés dans le cadre d'un LBO secondaire par une société mère française (cible de l'acquisition). Ces frais, bien que facturés à sa société mère luxembourgeoise, sont déductibles dès lors qu’ils ont été effectivement supportés par elle et qu’ils ont été engagés dans son intérêt direct, pour l’obtention d’un financement qui lui a été partiellement attribué (CE na, 23 décembre 2025, n° 507325 et CAA Paris, 27...By: Mayer Brown
2026 Crypto Tax Forecast: Hot with a High Chance of Legislation
It’s a new year, and cryptocurrency taxation is again the talk of the Hill. At the end of 2025, Congressmen Steven Horsford (D-NV) and Max Miller (R-OH) introduced a bipartisan discussion draft (the “Discussion Draft”) with extensive cryptocurrency tax proposals. Separately, in the same week, multiple Republican House legislators sent a letter to the IRS criticizing Revenue Ruling 2023-14, which states that staking rewards are taxable upon receipt....By: Cadwalader, Wickersham & Taft LLP
Can Venezuela Reopen for Business? Legal Shifts and Investment Signals to Watch
Key Takeaways - Venezuela is showing early signs of economic liberalization, particularly in the oil and mining sectors, presenting unique—but still high-risk—investment opportunities....By: Haynes Boone
NAD's Newfound Interest in Financial Services Extends to B2B Marketing
Two recent National Advertising Division decisions involving competing 401(k) providers underscore that NAD’s expanding focus on financial services advertising is not limited to consumer-facing debt-relief claims....By: Kilpatrick
Hong Kong authorities escalate coordinated action on market misconduct, cyber risks and virtual asset fraud
Hong Kong’s regulators are active, coordinated, and increasingly expectations‑driven. Businesses should be prepared for assertive use of statutory powers, higher standards on governance and documentation, and closer scrutiny of individual accountability....By: A&O Shearman
Meeting the growing demand for data-driven proof of compliance effectiveness
Authorities are increasingly requiring companies to demonstrate the effectiveness of compliance programs through data-driven evidence rather than narrative descriptions. Decisions on charging, remediation, and monitorships are increasingly based on whether controls work in practice and can be evidenced with data....By: A&O Shearman
A Sign of Things to Come on Regulation S-K?
On January 26, 2026, Securities and Exchange Commission Commissioner Mark T. Uyeda delivered remarks at the 53rd annual Securities Regulation Institute. The Commissioner focused his comments on efforts to improve capital formation by, in part, reducing regulatory compliance burdens in those instances in which existing requirements do not provide benefits for investors or the markets....By: Mayer Brown Free Writings + Perspectives
Important Lessons in OCC Simplified Strategic Plan Proposal for all ISB’s and Large Banks
Even if you don't use the strategic plan option or are examined by FDIC or FRB you should read this - At first glance most bankers would think that the OCC’s proposed simplified CRA strategic plan process would not be of interest because either they are banks not regulated by the OCC or they have no intention of using the strategic plan alternative for their CRA responsibilities....By: GeoDataVision
Overall Size of Securities Class Action Filings Reached New Heights in 2025
The number of securities class action filings decreased for the first time in two years in 2025, while the overall size of filings increased substantially, according to a report released today by Cornerstone Research and the Stanford Law School Securities Class Action Clearinghouse, which was supplemented with data from Stanford Securities Litigation Analytics....By: Cornerstone Research
Cybersecurity Threat Alert – Email Phishing Scam Targeting DFS-Regulated Entities
The New York Department of Financial Services (“DFS”) has issued the below notice to regulated entities and individuals to use caution before responding to outreach from individuals falsely claiming to represent DFS....By: Bressler, Amery & Ross, P.C.
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