Tag: SEC

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Daily Compliance News

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

  • 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.

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Daily Compliance News

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

Daily Compliance News: September 5, 2025, The Wells Notice 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, 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)
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2 Gurus Talk Compliance

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

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:

  • 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

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10 For 10

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

  • Trump is now the CEO of all US corps. (WSJ)
  • Even Peggy Noonan predicts AI chaos. (WSJ)
  • Musk given $30 bn to ‘stay focused’ by Tesla shareholders. (Bloomberg)
  • Netanyahu moves to fire his prosecutor. (Axios)
  • Credit Suisse’s purchase costs UBS another $33MM. (WSJ)
  • F1 leader pleads guilty to corruption in Singapore. (BBC)
  • Trump wants to punish banks. (WSJ)
  • When ABC becomes corrupted. (FT)
  • Uber picked business over customer safety. (NYT)
  • The 9th Circuit upholds the SEC gag rule. (Reuters)

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

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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: August 7, 2025, The SEC Can Gag 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:

  • Trump is making corruption more dangerous. (Foreign Affairs)
  • Uber picked business over customer safety. (NYT)
  • The 9th Circuit upholds the SEC gag rule. (Reuters)
  • To Regulate or Not to Regulate. (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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AI Today in 5

AI Today in 5: August 5, 2025, The AI at the SEC Episode

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 four stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI. 

 

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

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From the Editor's Desk

From the Editor’s Desk – Compliance Week’s Insights and Reflections from July to August 2025

In this episode of From the Editor’s Desk, co-hosts Tom Fox and Ian Sherr dive into key compliance stories from July, including differences in AI regulation between the U.S., EU, and UK, and shifts in regulatory approaches globally. They discuss notable cases, such as the DOJ’s $14 billion healthcare fraud prosecution tied to transnational crime, and T-Mobile’s acquisition of US Cellular amidst DEI program cuts. Upcoming initiatives in Compliance Week are also highlighted, including in-depth industry coverage and data-driven stories to aid compliance professionals in their roles. The episode concludes with insights into the recent acquisition of ECI by Compliance Week’s parent company, Verdian Insights, which aims to enhance resources available to the compliance community.

Highlights include:

  • Highlighting Key Stories from Compliance Week in July
  • Emerging Patterns in Compliance
  • Tariffs and Their Impact
  • SEC Whistleblower Claims Analysis
  • Upcoming Features and Data Stories
  • ECI Acquisition by Verdian Insights and Its Impact

Resources:

Ian Sherr on LinkedIn

Compliance Week

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Compliance Tip of the Day

Compliance Tip of the Day – Avoiding CCO Liability

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, our goal is to provide you with bite-sized, actionable tips to help you stay ahead in your compliance efforts. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

Today, we look at the issue of CCO liability in regulated industries and how to avoid it.

For more information on this topic, refer to The Compliance Handbook: A Guide to Operationalizing Your Compliance Program, 6th edition, recently released by LexisNexis. It is available here.

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending July 19, 2025

Welcome to 10 For 10, the podcast that brings you the week’s top 10 compliance stories in one episode 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.

  • SEC sanctions CCO who altered documents. (SEC Order)
  • The SEC grants $5 million in whistleblower awards. (Law360)
  • Meta settles shareholder claims on data privacy violations. (WSJ)
  • A Wells Fargo employee was denied departure from China. (WSJ)
  • ABC heads to the BVI to find out why it is dragging its feet. (The Guardian)
  • COSO pulls its Corporate Governance Framework (Radical Compliance)
  • Corruption comes to the Cannes Film Festival. (Ad Age)
  • SEC drops case against former Cognizant execs. (SEC Press Release)
  • FCA to take on workplace bullying. (FT)
  • Ramaphosa opens corruption investigation. (NYT)

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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