News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
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
Ethics & ConductAustralia s Criminal Code now holds your company liable if you can t prove you tried to prevent bribery. The Crimes Legislation Amendment (Combatting Foreign Bribery) Act 2024, effective September 202
Regulatory Obligations ManagementYour compliance program passes every audit. Your policies document every obligation. Your team checks every regulatory box. Yet, when a new requirement lands, you re scrambling to retrofit processes t
Regulatory Obligations ManagementThe Securities and Exchange Commission settled charges in August 2026 against an AI startup and its former CEO for misrepresenting projected revenue. While the agency hasn t disclosed the company s na
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GRC Platforms & AutomationAs AI systems evolve from generating recommendations to executing actions within GRC workflows, your compliance team needs a practical framework to decide what to automate, what to monitor, and where
Regulatory Obligations ManagementWhy These Mistakes Keep Happening Compliance teams often see regulatory enforcement pauses as a chance to scale back their programs. This reaction isn t intentional; it s a natural response to shiftin
Regulatory Obligations ManagementYour compliance program probably treats policies like static documents. You draft them, get them approved, publish them to SharePoint, and move on. Maybe you review them annually if someone remembers
Regulatory Obligations ManagementThe conventional wisdom Compliance officers are rushing to build AI governance programs. The logic seems solid: the DOJ s September 2024 ECCP revisions highlight AI risks, the EU AI Act sets complianc
Third-Party Risk ManagementThe Wirecard fraud wasn t a sudden explosion. It was a slow-motion collapse of every control layer that should have stopped it. By the time investigators confirmed that €1.29 billion in escrow account
Ethics & ConductWhen the SEC Office of the Whistleblower reported receiving 24,980 tips in FY 2024, compliance teams were alarmed. It seemed employees were bypassing internal channels at unprecedented rates. Then cam
Regulatory Obligations ManagementOn February 2, 2025, the first five articles of the EU AI Act took effect. If your organization operates in Europe or deploys AI systems used by European entities, you re now subject to enforcement. A
Regulatory Obligations ManagementThe Securities and Exchange Commission charged 38 firms with filing false information in their Forms ADV, all following an identical playbook: claim the same auditor, report nearly identical asset val
Regulatory Obligations ManagementThe AI Action Plan s focus on self-regulation shifts compliance responsibility directly to your organization. You can t wait for federal regulations to dictate what s acceptable; you need to build you
Ethics & ConductThe Conventional Wisdom You re hearing that the DOJ s expanded whistleblower rewards programs, announced May 12, 2025, for the Criminal Division and July 8, 2025, for the Antitrust Division, are a gam
Disclosure & Financial ReportingNo public company has collapsed from Sarbanes-Oxley Act compliance in the last decade, but many have faced significant setbacks due to failures in this area. These failures often lead to restatements,
Ethics & ConductContext: Questions from the compliance team channel Since the DOJ s June 9 policy memo redefining FCPA enforcement priorities, many compliance officers have asked whether the old playbook still applie
Regulatory Obligations ManagementThe Question at Hand When New York s LLC Transparency Act took effect on January 1, 2026, it came with a significant limitation: it applies only to non-US LLCs authorized to do business in the state.
Regulatory Obligations ManagementScope of the Guide This guide covers the Financial Services and Markets Act 2000 (Cryptoassets) Regulations 2026, establishing the UK s first comprehensive regulatory framework for digital assets. If
Regulatory Obligations ManagementWhen the Securities Commission Malaysia clarified digital asset broking requirements on January 30, 2026, compliance officers at Capital Markets Services Licence holders faced a familiar problem: regu
Regulatory Obligations ManagementThe SEC and CFTC s proposal to amend Form PF filing requirements marks a major shift in private fund reporting since Dodd-Frank mandated these disclosures in 2010. If finalized, these changes will rem
