News from the economy, politics and the financial markets
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Sustainable Energy & Infrastructure Litigation Updates — November 2025
On October 9, 2025, SEC Chairman Atkins delivered a speech in which he inveighed against “shareholder proposals focused on environmental and social issues.” According to Chairman Atkins, “these proposals consume a significant amount of management’s time and impose costs on the company” even though “they almost always receive even lower support than shareholder proposals do generally.”......By: Mintz - Energy & Sustainability Viewpoints
November Energy, Sustainability, and Infrastructure Washington Update
As Washington wrestles with gridlock and a government shutdown, the energy, sustainability, and infrastructure sectors continue to surge forward — driven by shifting political currents, new financing tools, and intensifying global competition. From sweeping project terminations at DOE to the rebranding of the Loan Programs Office under the banner of “Energy Dominance,” this month underscores both disruption and opportunity. Meanwhile, Congress and the Trump administration are redefining...By: Mintz - Energy & Sustainability Viewpoints
Senior Actuarial Advisor Shapiro Becomes President-Elect of the Conference of Consulting Actuaries
Groom celebrates that Senior Actuarial Advisor, Joshua Shapiro, has been named the President-Elect of the Conference of Consulting Actuaries (“CCA”). The CCA is a professional association that brings together actuaries who provide consulting services across areas such as pensions, health care, insurance, and investments. It serves as a community for its approximately 1,500 members to exchange ideas, stay current on industry developments, and strengthen their technical and professional skills....By: Groom Law Group, Chartered
[Video] Compliance Tip of the Day: NBA Betting Scandal - A Short History of BasketBall Betting Scandals
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...By: Thomas Fox - Compliance Evangelist
Gouvernail des données de Blakes : édition de l’automne 2025
Voici l’édition de l’automne 2025 de l’infolettre Gouvernail des données de Blakes, une publication du groupe Protection de la vie privée et des données de Blakes. Cette infolettre a pour but d’effectuer un survol des développements récents relatifs à la législation canadienne en matière de protection de la vie privée, de cybersécurité, d’accès à l’information et de gouvernance de l’intelligence artificielle (l’« IA »), ainsi que de fournir aux lecteurs des pistes de réflexion concrètes sur les...By: Blake, Cassels & Graydon LLP
FINRA Announces Probe of Broker-Dealers’ Small-Cap Foreign Activity
On October 23, FINRA announced that it is investigating broker-dealers that have helped small companies based in China and other foreign jurisdictions to go public, signaling that it is looking into possible stock manipulation such as pump-and-dump schemes in connection with the firms’ work....By: BakerHostetler
Wiley Consumer Protection Download (November 4, 2025)
CFPB Issues Interpretive Rule Preempting State Medical Debt Reporting Bans. On October 28, the CFPB issued an interpretive rule expressing that the Fair Credit Reporting Act (FCRA) generally preempts state laws that touch on broad areas of credit reporting, including laws that ban medical debt, rental information, and arrest records from credit reports....By: Wiley Rein LLP
NYDFS Puts Third-Party Service Providers Under Regulatory Spotlight
The New York Department of Financial Services (NYDFS) issued an industry letter titled “Guidance on Managing Risks Related to Third-Party Service Providers” (Guidance) for Covered Entities engaging third-party service providers (Service Providers) that process nonpublic information (NPI) under the NYDFS Part 500 Cybersecurity Regulation (Part 500)....By: Paul Hastings LLP
The Trustee Amendment Act 2025 - Bermuda
Bermuda has long been at the forefront of modern fiduciary practice and the recent introduction of new trust legislation further bolsters Bermuda’s position as a leading offshore fiduciary centre. The Trustee Amendment Act 2025 (the Amendment Act), which took effect on 10 October 2025 in Bermuda, modernises provisions in the Trustee Act 1975 concerning trustee investment powers....By: Carey Olsen
Key Takeaways From SEC Complaint, Federal Indictment Alleging $500 Million Business Fraud Scheme
The co-founder of an investment firm that focused on financing structured settlements was indicted in October in the Southern District of New York on allegations including that he and his companies repeatedly misled his lenders about material issues such as the amount of collateral it had and for misusing the money secured by the lenders was spent by his company, 777 Partners LLC, on risky investments....By: Parker Poe Adams & Bernstein LLP
[Video] Great Women in Compliance: The Art and Science of Compliance: Nicole Rose on Culture, Curiosity, and Change
In this episode of Great Women in Compliance, host Sarah Hadden sits down with Nicole Rose—lawyer, artist, author, and creator of the FRAME Training Method—to explore how human behavior, psychology, and creativity can transform compliance from a checkbox exercise into a movement that drives real change. Nicole shares the story behind her “Moneyball Compliance” approach, showing how small, measurable behaviors can predict integrity, build stronger cultures, and make ethics training finally stick....By: Thomas Fox - Compliance Evangelist
The Merged Assets Mess: Why Reconciliation and 5500 Accuracy Matter More Than Ever
Mergers are great when you’re talking about chocolate and peanut butter. But when you’re talking about merging 401(k) plan assets, it’s not always a smooth combination. Plan mergers, whether due to acquisitions, company restructuring, or TPA transitions, can create an administrative nightmare if the details aren’t handled with surgical precision. As a plan provider, you’ll quickly learn that merged assets and sloppy reconciliation are the kind of problems that turn your clean 5500 into a red...By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
US Treasury’s Outbound Investment Security Program: Lessons and Insights
On January 2, 2025, the US Department of the Treasury’s (Treasury) Final Rule implementing the Outbound Investment Security Program (OISP) pursuant to Executive Order 14105 went into effect, under which US Persons are prohibited from engaging in, or are required to provide notification to Treasury of, certain investments involving persons of so-called “Countries of Concern” (currently, the People’s Republic of China, including the Special Administrative Regions of Hong Kong and Macau) that...By: McDermott Will & Schulte
[Video] AI Today in 5: November 5, 2025, The Another One Bites the Dust Edition
Welcome to AI Today in 5, the newest edition 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 related to AI. Top AI stories include: • Enterprise-grade compliance with AI. (FinTech Global):...By: Thomas Fox - Compliance Evangelist
[Video] Compliance into the Weeds: Incentives in Compliance: Structuring Effective Compensation Plans
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 a subject more fully. Seeking insightful perspectives on compliance? Look no further than Compliance into the Weeds! In this episode, Tom Fox and Matt Kelly discuss the intricacies of integrating incentives into corporate compliance programs. Matt shares insights from a recent webinar and blog posts, discussing how companies can...By: Thomas Fox - Compliance Evangelist
[Video] Daily Compliance News: November 5, 2025, The Sex Dolls in Paris 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: • Trump threw a temper tantrum...By: Thomas Fox - Compliance Evangelist
Financial Markets and Funds Quick Take | Issue 43
From Enforcement to Empowerment: SEC Chairman Paul Atkins Charts a New Regulatory Approach for Digital Assets - SEC Chairman Atkins promoted a forward-looking regulatory agenda, emphasizing three interlocking priorities: (1) establish a formal "innovation exemption" to foster responsible technological development in US markets, (2) advance structural reforms to "future-proof" the SEC's regulatory agenda, and (3) redefine the SEC's role as a "Securities and Innovation Commission."...By: Katten Muchin Rosenman LLP
Ship Sailed, Unjust Enrichment Claim Derailed
It's a familiar scenario: you contract to provide advice, and you think there has been mission creep. Can you claim a reasonable fee for what you see as the extra you have provided based on the other side being unjustly enriched? Not in this case....By: A&O Shearman
Regulatory Monitoring: EU Version - October 2025
The EBA published a report on white labelling, accompanied by a fact sheet. In the report, the EBA considers the use of white labelling as a business model by the firms that are under its mandate, including credit institutions, emoney institutions, payment institutions, non-bank issuers of asset-referenced tokens, and non-bank lenders. The report defines white labelling as a business model in which a financial institution (the provider) enters into an agreement with another entity (the partner,...By: A&O Shearman
10 Easy Steps: What Do the Proposed FCA Rules on Tokenisation Mean for UK Authorised Funds and Depositaries?
On 14 October, the UK Financial Conduct Authority ("FCA") issued a consultation paper setting out proposed new rules and guidance for fund tokenisation and direct-to-fund dealing (“D2F”)....By: Mayer Brown
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