Tag: UBS

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending, November 22, 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 you 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.

This week’s stories include:

  • The IMF says corruption costs Pakistan 6% of annual growth. (Reuters)
  • Larry Summers steps back from public life. (NYT)
  • Mexico is the biggest supplier and buyer. (NYT)
  • Right-wing EU lawmakers want a corruption inquiry opened. (Politico)
  • The Trump Administration is set to end whistleblower protection for federal employees. (Reuters)
  • Turning compliance into a competitive advantage. (CW)
  • Corruption in the CZ pardon. (Newsweek)
  • Will UBS relocate to America? (FT)
  • Fraud case against Adani in limbo. (NYT)
  • French police raid Altice re: corruption allegations. (Bloomberg)

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: November 18, 2025, The UBS to America 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:

  • Canaccord is close to a settlement for compliance lapses. (Bloomberg)
  • A resigned Fed Official violated trading rules. (NYT)
  • Corruption in the CZ pardon. (Newsweek)
  • Will UBS relocate to America? (FT)

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, 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.

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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10 For 10

10 For 10: Top Compliance Stories For the Week Ending September 13, 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.

Stories include:

  • NYT Magazine on Epstein and JP Morgan. (NYT)
  • Was it fraud or something else? (FT)
  • Citi and UBS settle with the CFTC over commodity trading compliance violations. (Bloomberg)
  • Goldman Sachs GC was once Epstein’s administrator. (WSJ)
  • The son of a Chinese regulator under investigation is detained. (FT)
  • Gen Z protestors force recognition of Nepali PM. (Reuters)
  • Using AI to detect AI-generated fake receipts. (NYT)
  • The challenges of responsible AI development. (Forbes)
  • Former Head of Security for WhatsApp Sues Meta. (NYT)
  • CFTC ends Enforcement Sprint. (ComplianceWeek)

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: September 11, 2025, The Lest We Never Forget 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:

  • Citi and UBS settle with the CFTC over commodity trading compliance violations. (Bloomberg)
  • Goldman Sachs’ GC was once Epstein’s administrator. (WSJ)
  • The son of a Chinese regulator under investigation has been detained. (FT)
  • Gen Z protestors force recognition of Nepali PM. (Reuters)
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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.

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: August 5, 2025, The Staying Focused 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:

  • 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)

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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Daily Compliance News

Daily Compliance News: June 5, 2025, The Asset Cap Lifted 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, and general interest, all of which are relevant to the compliance professional.

Top stories include:

  • Wells Fargo has an asset cap lifted. (WSJ)
  • More Millennials and Gen Zers as middle managers. (Business Insider)
  • Swiss banking reforms for UBS are announced. (FT)
  • More spying and corruption at EcoPetrol. (Bloomberg)
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2 Gurus Talk Compliance

2 Gurus Talk Compliance – Episode 52 – The Big Jet Plane 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:

  • Trump closes tariff loophole on cheap online goods from China MSN)
  • If A.I. Systems Become Conscious, Should They Have Rights? (NYT)
  • Sarah Hadden & Corporate Compliance Insights: “Failure was always a possibility. It just wasn’t an option.” (Ideas & Answers)
  • ‘Everybody’s Replaceable’: The New Ways Bosses Talk About Workers (WSJ)
  • Florida man casually offers officer a vodka spritzer during police chase, officials say (Fox 35 Orlando)
  • The Board’s role in ransomware planning. (Harvard Law School Forum on Corporate Governance)
  • DOJ National Security Division issued a Declination. (Crime, Corruption and Compliance)
  • Based on whistleblower tips, UBS will pay $511MM for Credit Suisse’s failure to live up to DPA. (ComplianceWeek)
  • Malaysia wants Tim Leissner. (WSJ)
  • What is risk paralysis? (FT)

Resources:

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Daily Compliance News

Daily Compliance News: May 7, 2025, The Private Lives 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:

  • UBS will pay over $500MM to settle the tax fraud case. (WSJ)
  • Mike Jeffries was found incompetent to stand trial. (BBC)
  • Do CEOs have private lives? (Bloomberg)
  • Fighting Trump’s tariffs. (FT)