Tag: SEC

Daily Compliance News: December 15, 2025, The End of the FCA Edition

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Post date December 15, 2025
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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.

Daily Compliance News: December 3, 2025, The COI Comes to Football Edition

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Post date December 3, 2025
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Top stories include:

Lane Kiffin should be nowhere near Ole Miss football. (WSJ)
Police detain former EU top diplomat. (FT)
SEC Chair gives another swop to businesses over investors. (Reuters)
Prophecy fraud and classified information. (Bloomberg)

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

Tags fraud, Lane Kiffin, Ole Miss, SEC

2 Gurus Talk Compliance

2 Gurus Talk Compliance – Episode 63 – The Farewell to the Tall Guy Edition

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Post date November 7, 2025
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What happens when two top compliance commentators get together? They talk 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!

Stories this week include:

Boeing hit with $5bn in late fee penalties. (BBC)
All about FATF. (Bloomberg)
Will Tesla lose Musk (w/o $1tn pay package)? (Yahoo!Finance)
Does insider trading = insider betting? (Bloomberg)
Tom Hayes sues UBS for $400M. (Reuters)
SEC Chair Talks Messaging Enforcement, Misses the Point – Radical Compliance
Corruption Probe Underway at Rio Tinto’s Mongolian Copper Mine – WSJ
Facebook’s new holiday ad pines for a social platform that’s long gone – Fast Company
CEOs Are Furious About Employees Texting in Meetings – WSJ
Florida man arrested after making bomb threat against himself: police – WFLA

Connect with the hosts:

Kristy Grant-Hart: LinkedIn
Tom Fox: LinkedIn

Resources:

Kristy Grant-Hart on LinkedIn

Tom

Tags Boeing, Facebook, FATF, Florida Man, LIBOR, NBA Betting Scandal, SEC, Tom Hayes

10 For 10

10 For 10: Top Compliance Stories For the Week Ending October 18, 2025

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Post date October 18, 2025
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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, presents the compliance stories you need to know 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 stories include:

SEC wants to reduce the salaries of PCAOB Board members. (WSJ)
San Mateo County Sheriff removed for corruption. (San Francisco Chronicle)
Why Danielle Sasson resigned.
UK gov says if hacked, go to paper. (BBC)
BOA sued over alleged ties to Epstein. (Reuters)
Trump lobbies the Knesset. (Bloomberg)
The US forced the Dutch to fire the Chinese CEO of a chip company. (WSJ)
Why do you need glue employees? (WSJ)
Corruption puts Moroccan hospitals at breaking point. (France24)
CZ and Trump are now working together (in a family way). (Bloomberg)

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

Connect with Tom

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

Tags BOA, corruption, CZ, Epstein, Glue Employees, PCAOB, SEC, Trump Administration

Daily Compliance News

Daily Compliance News: October 17, 2025, The Decoupling Edition

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Post date October 17, 2025
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Top stories include:

SEC wants to reduce the salaries of PCAOB Board members. (WSJ)
San Mateo County Sheriff removed for corruption. (Police1)
The US threatens to decouple from China. (FT)
Capita fined £14mm for data breach. (BBC)

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

Tags Capita, China, PCAOB, San Mateo County, SEC

Daily Compliance News

Daily Compliance News: September 19, 2025, The Enron Still Toxic Edition

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Post date September 19, 2025
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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, including compliance, ethics, risk management, leadership, or general interest, relevant to the compliance professional.

Top stories include:

A former Navy No. 2 was sentenced to 6 years for corruption. (NBC News)
SEC revokes arbitration prohibition for IPOs. (Reuters)
BCG employees to take Humanitarian Principles training. (FT)
Enron parody goes south. (Bloomberg)

Tags BCG, bribery, corruption, Enron, SEC

Daily Compliance News

Daily Compliance News: September 5, 2025, The Wells Notice Edition

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Post date September 5, 2025
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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, including compliance, ethics, risk management, leadership, or general interest, relevant to the compliance professional.

Top stories include:

EU fines Google and Shein a total of $553.9 million over cookie abuse. (WSJ)
EU prosecutor and Brussels elite go head-to-head over corruption. (ftm.eu)
What CEOs think of Stankey Memo. (Business Insider)
Reforming the Wells Notice process. (Bloomberg Law)

Tags EU, Google, SEC, Stankey Memo, Wells Notice

2 Gurus Talk Compliance

2 Gurus Talk Compliance – Episode 57 – The Tom on His Highhorse Edition

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Post date August 15, 2025
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Stories this week include:

Thoughts on the Compliance Job Market (Radical Compliance)
A Shadow AI Crisis Is Brewing in the GC’s Office (Corporate Compliance Insights)
I built a company that broke people. Now I’m choosing capitalism with love (Fast Company)
European Union: Specific regulation of technological impact on the workforce
Trump is now the CEO of all US corps. (WSJ)
Trump tells Intel to fire CEO. Are you next? (WSJ)
Uber picked business over customer safety. (NYT)
9th Circuit upholds SEC gag rule. (Reuters)
To Regulate or Not To Regulate. (Bloomberg)
Florida man posed as flight attendant to score dozens of free flights: officials – Fox 35 Orlando

Resources:

Kristy Grant-Hart on LinkedIn

Tom

Tags AI, EU, Florida Man, gag rules, Job Market, SEC, Trump, Uber

10 For 10

10 For 10: Top Compliance Stories For the Week Ending August 9, 2025

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Post date August 9, 2025
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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.