Tag: insider trading

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Daily Compliance News

Daily Compliance News: May 29, 2026, The Lies Lies Lies 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 professionals.

Top stories include:

  • Democrats launch the End Corruption Caucus.  (TheHill)
  • Former BP BOD Chair says allegations of bullying are ‘lies’. (NYT)
  • A Google employee sued for using insider information to bet on Polymarket. (WSJ)
  • Trump refiles lawsuit against WSJ for Epstein card. (Reuters)

For more information on the use of AI in compliance programs, Tom Fox’s new book, Upping Your Game, is available. You can purchase a copy of the book on Amazon.com.

To learn about the intersection of Sherlock Holmes and the modern compliance professional, check out Tom’s latest book, The Game is Afoot-What Sherlock Holmes Teaches About Risk, Ethics and Investigations on Amazon.com.

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Daily Compliance News

Daily Compliance News: March 26, 2026, The Mind Blowing Corruption 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 is allowing COI-related corruption to continue. (CNBC)
  • Another day, another $1.5bn in insider trading. (TheHill)
  • Marco Rubio testifies in corruption trial. (NYT)
  • The US ban on Anthropic ‘looks like punishment’. (WSJ)
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10 For 10

10 For 10: Top Compliance Stories For the Week Ending, November 1, 2025

Welcome to 10 For 10, the podcast that 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 be aware of to end your busy week. Sit back, and in 10 minutes, hear about the stories every compliance professional should be aware of from the prior week. Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for the compliance professional, all curated by the Voice of Compliance, Tom Fox. Get your weekly filling of compliance stories with 10 for 10, a podcast produced by the Compliance Podcast Network.

Top weekly stories include:

  • Boeing hit with $5bn in late fee penalties. (BBC)
  • Corruption probe at Historic Environment Scotland. (BBC)
  • KPMG, Novo Bank targeted in corruption probe. (Bloomberg)
  • Ukraine receives an award for ABC. (Ukrinform)
  • All about FATF. (Bloomberg)
  • Texting in meetings is a CEO no-no. (WSJ)
  • Will Tesla lose Musk (w/o $1tn pay package)? (Yahoo!Finance)
  • Does insider trading = insider betting? (Bloomberg)
  • Tom Hayes sues UBS for $400MM. (Reuters)
  • How will the US define ‘country of origin’? (NYT)

You can check out the Daily Compliance News for four curated compliance and ethics-related stories each day, here.

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Daily Compliance News

Daily Compliance News: October 29, 2025, The CEO No-No 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:

  • Texting in meetings is a CEO no-no. (WSJ)
  • Will Tesla lose Musk (w/o $1tn pay package)? (Yahoo!Finance)
  • Does insider trading = insider betting? (Bloomberg)
  • Tom Hayes sues UBS for $400 million. (Reuters)

The Daily Compliance News has been honored as the No. 2 in the Best Regulatory Compliance Podcasts category.

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending, August 2, 2025

Welcome to 10 For 10, the podcast that 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 be aware of to end your busy week. Sit back, and in 10 minutes, hear about the stories every compliance professional should be mindful of from the prior week. Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for the compliance professional, all curated by the Voice of Compliance, Tom Fox. Get your weekly filling of compliance stories with 10 for 10, a podcast produced by the Compliance Podcast Network.

  • Ukrainian oligarchs ordered to repay bank fraud. (FT)
  • The ex-President of Colombia was convicted of bribery. (NYT)
  • Long-term bet for insider trading. (Bloomberg)
  • Bain & Co leaves South Africa. (FT)
  • The Trump Administration guts the Antitrust Division. (WSJ)
  • Meta is under investigation in Italy (again). (Reuters)
  • Does any CEO conduct personally? (Bloomberg)
  • Of corruption and battlefield failures. (NYT)
  • Was bribery involved in the Skydance-Paramount deal? (Deadline)
  • The head of the Shaolin Temple in China is in hot water over corruption. (FT)

You can check out the Daily Compliance News for four curated compliance and ethics-related stories each day, here.

Connect with Tom 

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You can purchase a copy of my new book, Upping Your Game, on Amazon.com

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Daily Compliance News

Daily Compliance News: July 31, 2025, The Forgotten Generation 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 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:

  • Ukrainian oligarchs ordered to repay bank fraud. (FT)
  • The former President of Colombia was convicted of bribery. (NYT)
  • GenXers dissed yet again. (WSJ)
  • Long-term bet for insider trading. (Bloomberg)

You can donate to flood relief for victims of the Kerr County flooding by going to the Hill Country Flood Relief here.

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Classroom Insiders

Classroom Insiders, Season 2- Exploring Insider Trading and Cryptocurrencies: SEC v. Wahi

Welcome to Season 2 of Classroom Insiders, a podcast with Professor Karen Woody and her Insider Trading Seminar students from Washington and Lee University. They explore the arc and evolution of insider trading over the last century. Each episode will feature a discussion between Karen Woody and students about insider trading and regulation. Find out what the future lawyers of the university think about past and current legislation and learn more about this fascinating area of law.

In this episode of Classroom Insider, Professor Woody discusses insider trading with law students Cody and Kevin. The trio takes a deep dive into the SEC v. Wahi case. The case involves the Coinbase crypto trading platform, where insider information about cryptocurrency listings was leaked by an employee to friends, enabling them to trade and profit before the information became public. The discussion underscores the intertwining of classical and misappropriation theories of insider trading, especially in the novel context of cryptocurrencies.

The episode further delineates how the securities regulation landscape is adapting to new financial instruments like cryptocurrencies and NFTs, referencing cases like Chiarella, Carpenter, and Chastain to provide a comparative analysis. The conversation evokes critical thoughts on the SEC’s jurisdiction in crypto markets and whether such activities should be classified under insider trading laws. As the legal boundaries expand, the trio anticipates continuous evolution in regulatory approaches towards insider trading and cryptocurrencies.

Key Highlights

  • Case Introduction: SEC vs. Wahi
  • Details of the Case
  • Legal Theories and Jurisdiction
  • Opinions and Takeaways

Resources

Washington and Lee School of Law

Professor Karen Woody

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Classroom Insiders

Classroom Insiders, Season 2 – A Deep Dive into Panuwat and Shadow Insider Trading

Welcome to Season 2 of Classroom Insiders, a podcast with Professor Karen Woody and her Insider Trading Seminar students from Washington and Lee University. They explore the arc and evolution of insider trading over the last century. Each episode will feature a discussion between Karen Woody and students about insider trading and regulation. Find out what the future lawyers of the university think about past and current legislation and learn more about this fascinating area of law.

In this episode of Classroom Insider Season 2, Professor Woody is joined by students Iyla and Mia to delve into the intricacies of insider trading law through the lens of the Panuwat case. The conversation focuses on Panuwat, a former executive at Medivation who utilized non-public information about Medivation’s acquisition by Pfizer to trade in Insight’s stocks, resulting in significant profits. This case is pivotal as it marks a notable expansion of insider trading law under the SEC’s ‘shadow trading’ concept, where the misappropriation theory and the collateral market connection were brought to a new light. The discussion covers the challenges and implications of this expansion, comparing it to previous cases like SEC v. Obis and highlighting the evolving nature of insider trading regulations through litigation rather than legislation. They also touch upon the potential future impacts of the ruling on corporate compliance and insider trading laws, making this episode essential listening for anyone in the compliance field.

Key highlights:

  • Panuwat Case Details and SEC Allegations
  • SEC’s Redefinition of Materiality
  • Historical Context: SEC v. OBIS
  • Debating the Fairness of the Panuwat Case
  • Potential Implications and Future of Insider Trading Law

Resources:

Washington and Lee School of Law

Professor Karen Woody

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Daily Compliance News

Daily Compliance News: April 3, 2024 – The What is Insider Trading 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.

In today’s edition of Daily Compliance News:

For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.

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2 Gurus Talk Compliance

2 Gurus Talk Compliance – Episode 24 — The Self-Disclosure Edition

What happens when two top compliance commentators get together? They talk about compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s episode! In this episode, Tom and Kristy take on a wide variety of compliance-related topics.

The Department of Justice (DOJ) is launching a paid whistleblower initiative, specifically targeting cases of criminal exploitation of the U.S. financial system that slip through the cracks of existing agency schemes. This move has elicited various perspectives, notably from compliance experts Tom Fox and Kristy Grant-Hart. Fox, drawing on his extensive experience in compliance, identifies the program as a vital development, filling a gap in whistleblower compensation efforts. He anticipates that it will compel compliance officers to foster a culture of reporting and enhance efficiency in managing investigations. On the other hand, Kristy, a renowned compliance specialist, also views the initiative positively but expresses concerns about the increased pressure on organizations to ensure compliance.

Despite this, both experts agree that the program is a step in the right direction towards promoting transparency, accountability, and ethical corporate behavior.

Highlights Include:

1. DAG Monaco Speech (DOJ Release)

2. Nicole M. Argentieri Speech (DOJ Release)

3. CTA struck down (WSJ)

4. Leadership Lessons from Robert Oppenheimer (WSJ)

5. State governments move to regulate AI (NYU)

6. The Percentage Of Corporate DOJ And SEC FCPA Enforcement Actions That Result From A Voluntary Disclosure (FCPA Professor)

7. Husband Who Eavesdropped on Wife’s Work Calls Pleads Guilty to Insider Trading (WSJ)

8. SEC Adopts Climate Disclosure Rule (Radical Compliance)

9. Is It Ever OK to Have an 8 a.m. Meeting? (WSJ)

10. The Florida Man Games (NYTimes)

Resources:

Kristy Grant-Hart on LinkedIn

Spark Consulting

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