Here are some compliance related stories that recently caught my attention.
Office of Investor Advocate Report Addresses Ownership of Private Market Securities
by Meredith Ervine in TheCorporateCounsel.Net
In mid-December, the SEC’s Office of the Investor Advocate delivered its Report on Activities for the Fiscal Year 2025 to Congress. As highlighted in the announcement, the report provides an update on the office’s investor research activities, discusses the office’s engagements with investors, and describes its ongoing advocacy efforts.
Six Compliance Events to Watch in 2026
by Matt Kelly in Radical Compliance
Control of Congress
…. Second, if Democrats do take control of Congress, that will have huge implications for corporate regulation in 2027 and beyond. For example, we might see Democrats freeze budget allocations until Trump starts putting Democratic appointees back on independent agencies; or we might see Trump ignore Democratically enacted laws, leaving you in regulatory compliance limbo. That uncertainty could linger until 2029 or beyond.
MSCI Backs Off on Crypto-Exclusion Plan But Signals Wider Review
by Isabelle Lee for Bloomberg
“Distinguishing between investment companies and other companies that hold non-operating assets, such as digital assets, as part of their core operations rather than for investment purposes requires further research and consultation with market participants,” the statement said. “For instance, assessing index eligibility across a range of these types of entities may require additional inclusion assessment criteria, such as financial-statement-based or other indicators.”
Why is Trump trying to control Greenland and Venezuela?
Anyone who has played Risk knows why.
