News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
Regulatory Obligations ManagementFINRA's amended Rule 2210 permits projected returns in broker-dealer communications under strict conditions, impacting private fund marketing compliance.
Regulatory Obligations ManagementAdapting existing AML governance controls to AI systems enables financial institutions to enhance compliance and operational efficiency without new regulatory rules.
Regulatory Obligations ManagementThis vendor compliance statement template helps regulated industries document their verification methods when regulations don't specify how to prove compliance.
Regulatory Obligations ManagementThe DOJ s National Fraud Enforcement Division issued a directive on Oct. 1 that changes how corporate fraud cases are prosecuted. The memo lists 10 factors prosecutors must weigh when deciding whether
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Regulatory Obligations ManagementThe OCC and Federal Reserve Board imposed a $350 million penalty on American Express National Bank for failing to maintain a compliance program reasonably designed to assure and monitor compliance wit
Regulatory Obligations ManagementThe Challenge The Justice Department s National Fraud Division has outlined 10 factors prosecutors will use to decide on corporate prosecutions. These factors include estimated fraud losses, geographi
Regulatory Obligations ManagementSouth Korea s Presidential Decree No. 36592 takes effect on February 19, 2027. Virtual asset providers must refuse any incoming transfer lacking required originator and beneficiary information. This o
Regulatory Obligations ManagementThe Challenge OTC Link LLC, a broker-dealer registered with the SEC since 2012, faced allegations of repeatedly failing to establish and enforce adequate compliance policies and procedures for OTC Lin
Regulatory Obligations ManagementWhen your marketing team sends you a draft campaign featuring a climate-friendly product claim, your first question shouldn t be whether it s aspirational. It should be whether you can defend it in co
Regulatory Obligations ManagementThe SEC s Division of Enforcement, led by David Woodcock, is prioritizing aggressive fraud enforcement. For compliance officers, this isn t just a policy shift, it s a call to scrutinize your fraud de
Regulatory Obligations ManagementThese questions come from compliance officers, GRC directors, and legal teams who ve been closely monitoring constitutional challenges to the False Claims Act s qui tam provisions in federal courts. T
Regulatory Obligations ManagementThe Silence Speaks Volumes Eight months ago, the Trump Administration announced the creation of a National Fraud Enforcement Division. Since then, compliance officers have been left without clear guid
Regulatory Obligations ManagementThe real question isn t whether your code of conduct needs attention. It s whether you should make incremental updates or opt for a complete rewrite. This decision impacts your timeline, budget, stake
Regulatory Obligations ManagementThe idea that AI will transform compliance officers from reactive gatekeepers into strategic partners is widespread. Automate routine tasks, free up time, and suddenly you re shaping decisions instead
Regulatory Obligations ManagementYou ve probably noticed your external auditors asking different questions lately. They re spending more time on your whistleblower hotline metrics. They want to know how many employees completed ethic
Regulatory Obligations ManagementGermany s Supply Chain Due Diligence Act is now in full effect. The Federal Office of Economic Affairs and Export Control (BAFA) can impose fines up to eight million euros or 2% of annual global turno
Regulatory Obligations ManagementThe Justice Department s Criminal Division released updated compliance program guidance this week, focusing on practical questions that impact cooperation credit negotiations, declination decisions, a
Regulatory Obligations ManagementThe U.S. Department of Health and Human Services Office of the Inspector General (OIG) has made a clear statement: compliance officers shouldn t report to legal or finance. They should report directly
Regulatory Obligations ManagementThe Question at Hand When the Supreme Court makes significant regulatory changes, compliance officers face a dilemma: should you adjust your program in response, or continue with your current obligati
Regulatory Obligations ManagementThe Department of Justice released its updated Evaluation of Corporate Compliance Programs guidance on September 23, 2024, at the Society of Corporate Compliance and Ethics conference. This regulatory
