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The Myth of the Perfect Plan Sponsor
There is no such thing as a perfect plan sponsor. Anyone who tells you otherwise is either selling something or has never actually worked inside a retirement plan....By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
Practical Guidance for Luxury Brands Navigating Retailer Insolvency
The ongoing financial distress of luxury brand retailers has raised urgent questions for sellers of luxury brands. For independent brands and institutional luxury houses alike, each distressed situation creates unique challenges that can directly impact financial results, as open orders, receivables, existing contracts, and long-standing relationships are put at risk. Being armed with advanced knowledge of the “best practices” to employ in the face of customer financial distress will allow...By: Blank Rome LLP
A Line in the Sand: FINTRAC's Shift to Aggressive AML Enforcement
The year 2025 marked a turning point in Canada's anti-money laundering (AML) enforcement landscape, with the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) adopting a markedly more aggressive approach. As the administrative agency responsible for enforcing compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA), FINTRAC launched a series of audits and enforcement actions that culminated in record-breaking administrative monetary...By: Davies Ward Phillips & Vineberg LLP
DFPI Imposes Up to $1 Million Penalty on Crypto Kiosk Operator for Alleged Digital Financial Assets Law Violation
On January 16, the DFPI entered into a consent order with a digital financial asset kiosk operator, based on DFPI’s allegations that the operator violated the Digital Financial Assets Law (DFAL), the California Consumer Financial Protection Law (CCFPL), and the Bank Secrecy Act (BSA). According to the consent order, the kiosk operator......By: Sheppard Mullin Richter & Hampton LLP
[Video] 2 Gurus Talk Compliance - Episode 69 - The Wind Kristy Up 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: • Tim Leissner wants a pardon. • The Pope says watch out for an affectionate chatbot. • Discrimination against white males. • 9 AI Risks you should be aware of. • Compliance officers fired for failing to escalate investigative findings. •...By: Thomas Fox - Compliance Evangelist
Weekly Update for Government Contractors and Commercial Businesses – January 2026 #4
January 2026: Partial Government Shutdown Imminent—Key Considerations for Federal Contractors - Last fall, the longest government shutdown in U.S. history—at 43 days—had lasting and widespread negative impacts across the country. As we have done in advance of prior looming shutdowns, PilieroMazza reminds government contractors of key considerations to aid them in preparing for and mitigating the potential impacts on their operations....By: PilieroMazza PLLC
NCUA Issues 2026 Supervisory Priorities Letter Emphasizing Safety, Soundness, and Risk-Focused Examinations
On January 14, the NCUA issued a letter outlining its supervisory priorities and examination program updates for 2026. The letter emphasizes risk-focused supervision, continued reliance on defined-scope examinations for smaller institutions, and adherence to a “no regulation by enforcement” approach, while reaffirming that examiners will continue enforcing all applicable consumer protection and safety and soundness requirements....By: Sheppard Mullin Richter & Hampton LLP
DFPI Orders Mortgage Lender to Pay $160,000 for Alleged Unlicensed Mortgage Loan Originator Activity
On December 31, the DFPI entered into a consent order with a residential mortgage lender to resolve allegations of unlicensed mortgage loan origination activity under the California Financing Law and the California Residential Mortgage Lending Act. The lender agreed to pay a $160,000 administrative penalty and to undertake additional compliance and review measures, while neither admitting nor denying the order’s findings....By: Sheppard Mullin Richter & Hampton LLP
FTC Announces Civil Contempt Motion Seeking Receivership and Expanded Injunctive Relief for Alleged Order Violations
On January 13, the FTC announced that it had filed a combined motion in the U.S. District Court for the District of Nevada seeking to hold a payment processor and its executives in civil contempt for alleged violations of a previously entered stipulated permanent injunction and final order dating back to 2015....By: Sheppard Mullin Richter & Hampton LLP
Independent Sponsor Capital Raising in 2026: Getting to Yes in a Challenging Market
Despite continued headlines signaling a slowdown in fundraising, the capital-raising environment for independent sponsors entering 2026 remains active and increasingly competitive. Capital is available across the stack, but sponsors face heightened expectations around preparation, clarity and execution....By: McGuireWoods LLP
FTC Settlement Targets Deceptive Business Opportunity and Credit Repair Scheme
The FTC secured a settlement with Growth Cave, LLC and related entities (“Growth Cave”), along with the company’s co-CEOs, to resolve allegations that Growth Cave violated the FTC Act, the Business Opportunity Rule, and the Credit Repair Organizations Act through a deceptive business opportunity and credit repair scheme....By: Cozen O'Connor
SEC Issues Guidance on Tokenized Securities
On January 28, the Securities and Exchange Commission's (SEC) Divisions of Corporation Finance, Investment Management, and Trading and Markets jointly released a joint statement on tokenized securities (Staff Statement). The Staff Statement returns to a familiar theme in the digital asset space: changing how ownership is recorded does not change what is being sold. A tokenized security is still a security, and the federal securities laws apply in the same way as they do to traditional book-entry...By: Katten Muchin Rosenman LLP
On-chain or Off-chain, Federal Securities Laws Remain Un-chain-ged.
On Jan. 28, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance, Division of Investment Management, and Division of Trading and Markets (collectively referred to as Staff), released a joint staff statement (Statement) supposedly clarifying how the federal securities laws apply to “tokenized securities” and related offering and issuance structures. Somewhat comically, the Statement claims to provide regulatory clarity for market participants....By: Lowenstein Sandler LLP
[Video] AI Today in 5: January 30, 2026, The Building Regulatory Trust Edition
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 five stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI. Top AI stories include: • Building an AI that regulators can trust. (FinTechGlobal):...By: Thomas Fox - Compliance Evangelist
FINRA Fines and Suspends Former Financial Advisor for Naming His Wife and Children as Beneficiaries on a Client’s Account
A former financial advisor was suspended for eight months and fined $5,000 after he allegedly violated FINRA Rule 2010. FINRA Rule 2010 provides that “a member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.”...By: Marshall Dennehey
[Video] Compliance and AI: Understanding AI and Cyber Risk Management with Yakir Golan
What is the intersection of AI and compliance? What about Machine Learning? Are you using ChatGPT? These questions are just three of the many we will explore in this cutting-edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. Today, Tom visits with Yakir Golan, CEO & Co-Founder at Kovrr, who shares his professional journey from the Israeli intelligence community to his current role at Kovrr. They discuss Kovrr’s business, focusing on Cyber Risk...By: Thomas Fox - Compliance Evangelist
Another Small Step: F/m Investments Awaits SEC’s Green Light
F/m Investments just took a step toward modernizing ETFs by asking the SEC to let it issue tokenized shares of its Treasury 3 Month Bill ETF, TBIL. Under F/m’s proposal, ownership of these ETFs would be recorded on a permissioned blockchain ledger, and investors could trade these shares of TBIL on regulated alternative platforms like Securitize or Coinbase, with transactions funneled back to U.S. Bank, the ETF’s current transfer agent....By: Seward & Kissel LLP
[Video] Daily Compliance News: January 30, 2026, The Super Charged Hiring Pool 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: • French casino chief found guilty of fraud....By: Thomas Fox - Compliance Evangelist
Delaware Supreme Court Affirms D&O Coverage for Settlement of Post-M&A Shareholder Litigation and Limits Scope of “Bump-Up’’ Exclusion
On Jan. 27, 2026, in Illinois National Insurance Co. v. Harman International Industries, Inc. (“Harman”), the Delaware Supreme Court issued a notable, pro-policyholder decision addressing the scope of directors and officers (D&O) insurance coverage for settlements arising from post-M&A shareholder litigation....By: Haynes Boone
UK Regulator Sets Out Insurance Supervision Priorities for 2026
On 15 January 2026, the Prudential Regulation Authority ("PRA") published its annual letter setting out supervisory priorities for the UK insurance sector for the year ahead. What is the purpose of the PRA's 2025 Insurance Supervision priorities letter?...By: Mayer Brown
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