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[Video] Great Women in Compliance: Resilience is a Muscle You Can Build
In this episode of Great Women in Compliance, Lisa Fine talks with Trish Ashman, Senior Director of Ethics & Compliance (AMEA & APAC) at Cushman & Wakefield, about resilience, integrity, and knowing when it’s time to move on. Trish shares her journey from private practice in London to Singapore and into the Ethics and Compliance space. Trish was at Wirecard and then at Twitter, both of which had her working through two major corporate crises – the Wirecard fraud and the ownership change at...By: Thomas Fox - Compliance Evangelist
NCUA Proposes Application Process for GENIUS Act Compliance
The National Credit Union Administration (NCUA) Board issued a proposed rule to implement key provisions of the GENIUS Act that apply to federally insured credit unions (FICUs) and their subsidiaries. The proposed rule outlines how payment stablecoin issuers affiliated with FICUs could apply for a license, how they would be supervised, and the limits that would be placed on credit union investments in stablecoin-issuing entities....By: Davis Wright Tremaine LLP
California’s Venture Capital Diversity Reporting Requirements Take Effect
The FIPVCC creates a new venture capital demographic survey and reporting regime administered by DFPI. Under the FIPVCC, certain entities which invest in startup, early-stage or emerging growth companies and have a California nexus (Covered Entities) are required to register with DFPI, circulate a prescribed demographic survey to collect demographic data from founders of portfolio companies in which they invested in the prior year, and submit an annual report of anonymized data collected. The...By: Wilson Sonsini Goodrich & Rosati
FinCEN Reporting for Residential Real Estate Transactions Begins March 1, 2026
As of March 1, 2026, the Financial Crimes Enforcement Network (FinCEN) is enforcing its new “Residential Real Estate Rule,” which requires certain professionals involved in real estate closings and settlements to submit reports to FinCEN regarding non-financed transfers of residential real estate to legal entities or trusts. While the Rule became effective December 1, 2025, reporting requirements were postponed to reduce business burden....By: Winthrop & Weinstine, P.A.
Protecting Agricultural Aircraft Collateral: Practical Risk Management for Lenders
Secured loans require collateral, and lenders usually protect the collateral with certain provisions, like requiring insurance in a certain amount. This works well for collateral on common loans like real estate or automobiles. But, what about uncommon types of loans, like one for an agricultural aircraft? Is insurance enough?...By: Amundsen Davis LLC
[Video] Compliance into the Weeds: SDNY’s New Declination Policy: Crime Categories, Cooperation, and Compliance Implications
The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly look at the recently announced new Southern District of New York standard for Declinations. They look at SDNY U.S. Attorney Jay Clayton’s newly...By: Thomas Fox - Compliance Evangelist
[Video] Daily Compliance News: March 4, 2026, The Knickers in a Twist 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: • The Trump Administration reverses itself on law...By: Thomas Fox - Compliance Evangelist
CFTC Re-Issues & Expands Relief from CFTC Letter No. 25-50
On Feb. 26, 2026, the Market Participants Division (“MPD”) of the Commodity Futures Trading Commission (“CFTC”) amended and restated CFTC No-Action Letter No. 25-50 (“Letter No. 25-50”) with new CFTC No-Action Letter No. 26-06 (“Letter No. 26-06”), to confirm a CPO that de-registers based on this no-action relief may continue to serve as the CPO (the “Designated CPO”) and perform certain registered CPO responsibilities for funds and other commodity pools, despite the Designated CPO no longer...By: Haynes Boone
New FinCEN Requirements for Residential Real Estate Transactions
Beginning on March 1, 2026, certain professionals involved in residential real estate closings and settlements or other innocuous transfers of residential real estate will be required to submit reports to the Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) regarding certain non-financed transfers of residential real estate to legal entities or trusts....By: Bilzin Sumberg
Nasdaq Implements Accelerated Delisting for Securities Trading Below $0.10 for Ten Consecutive Trading Days
Introduction - On December 5, 2025, the Securities and Exchange Commission (SEC) approved Nasdaq’s proposal to amend its minimum bid price requirements for listed companies....By: Robinson & Cole LLP
New FinCEN Reporting Requirements for Residential Real Property Transfers
On March 1, 2026, the Financial Crimes Enforcement Network (“FinCEN”) imposed new reporting requirements for certain transfers of residential real property that are deemed to be high-risk for illicit finance. Specifically, a Real Estate Report must be filed with FinCEN for all reportable transfers outlining the particulars of said transaction....By: Hinckley Allen
Supreme Court Voids Tariffs – What’s Next for Trading Refund Claims?
Now that the U.S. Supreme Court has invalidated President Trump’s tariffs, importers could be owed more than $175 billion in refunds. Our Distressed Debt & Claims Trading and International Trade & Regulatory Teams examine how importers can tap into the secondary market by selling tariff refunds while distressed claims buyers can purchase them at a discount....By: Alston & Bird
Reforms to the UK Appointed Representative Regime
Introduction - On 12 February 2026, the HM Treasury of the UK Government (“HMT”) issued a consultation paper setting out further detail on its proposals to strengthen confidence in the United Kingdom’s Appointed Representatives (“AR”) regime....By: Mayer Brown
California's New Venture Capital Reporting Requirements
Beginning March 1, 2026, California's Fair Investment Practices by Venture Capital Companies Law (FIPVCC) imposed new registration and reporting obligations on venture capital companies with a California nexus. The FIPVCC is codified in Cal. Corp. Code §§ 27500-27506....By: Stinson LLP
Nasdaq Proposes Raising the Continued Listing Market Value Requirement to $5 Million
On January 13, 2026, The Nasdaq Stock Market LLC (Nasdaq) filed a proposed rule change with the U.S. Securities and Exchange Commission (SEC) to adopt a new Market Value of Listed Securities (MVLS) continued listing requirement of at least $5 million. Concurrently, Nasdaq proposed a number of related rule changes to enhance and strengthen its continued listing framework....By: Robinson & Cole LLP
SEC Advisory Committee Turns Spotlight on Finders and Secondary Market Growth
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee convened virtually on February 24, 2026, marking its first meeting of the year following the government shutdown that disrupted its schedule. The Committee’s agenda included a discussion of finders, a discussion of private secondary markets, and an update from the SEC’s Office of the Advocate of Small Business Capital Formation (“OASB”) on its report....By: Mayer Brown Free Writings + Perspectives
New Insider Reporting Requirements for Foreign Private Issuers Under the Holding Foreign Insiders Accountable Act
Overview - On December 18, 2025, the Holding Foreign Insiders Accountable Act (HFIAA) was signed into law as part of the National Defense Authorization Act for Fiscal Year 2026. Effective March 18, 2026, the HFIAA requires directors and officers of foreign private issuers (FPIs) to report their equity ownership and transactions to the U.S. Securities and Exchange Commission (SEC) under Section 16(a) of the Securities Exchange Act of 1934, as amended (the Exchange Act), on Forms 3, 4, and 5....By: Robinson & Cole LLP
EBA Follow-Up Report On ICT Risk Assessment Under SREP
The European Banking Authority (EBA) has published a follow‑up report to its 2022 peer review on information and communication technology (ICT) risk assessment under the Supervisory Review and Evaluation Process (SREP). The report reviews the recommendations issued to competent authorities in 2022, considering progress made following the application of the Digital Operational Resilience Act (DORA) since January 2025, and the forthcoming integration of the ICT SREP Guidelines into the revised...By: A&O Shearman
New York Publishes Buy Now, Pay Later Rules
The New York Department of Financial Services has published proposed rules governing Buy Now, Pay Later (BNPL) financing plans operating in the state....By: Ballard Spahr LLP
Despite Changing Priorities, DOJ’s Money Laundering, Narcotics, and Forfeiture Section Enforces AML Requirements Against Cryptocurrency Marketplace
Guilty pleas by a now defunct crypto exchange and its co-founder and former chief technology officer (CTO), along with the recent arrest of its other co-founder and former chief executive officer (CEO) in the Eastern District of California, send a strong reminder to the digital assets industry that it cannot grow lax in establishing, implementing, and maintaining robust anti-money laundering (AML) compliance programs. This case also illustrates that, consistent with the Criminal Division’s May...By: Troutman Pepper Locke
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