News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
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
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
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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
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
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
Regulatory Obligations ManagementThe European Securities and Markets Authority (ESMA) recently highlighted €1 billion in potential annual savings through simplified transaction reporting, sparking renewed interest in reporting reform
Regulatory Obligations ManagementThe Challenge When the EU Anticorruption Directive arrived with penalties reaching 5% of global revenue or €40 million for serious offenses, compliance teams faced a familiar problem: integrating new
Regulatory Obligations ManagementWhat Changed in 2025 Regulators issued nearly 4,000 new designations across 265 list updates in 2025. While this is down from 5,674 additions in 2022, the drop in volume hides a bigger shift: sanction
Regulatory Obligations ManagementIf you re managing DORA , the EU AI Act , and NIS2 with spreadsheets and shared inboxes, you re not running a compliance program . You re running a failure audit in slow motion. The connective infrast
Regulatory Obligations ManagementThe Corporate Transparency Act s beneficial ownership reporting requirements have been rolled back for U.S. entities. FinCEN s final rule exempts U.S. companies and individuals from these requirements
Regulatory Obligations ManagementThese questions come from compliance teams preparing for APRA CPS 230 implementation. They re the practical questions that arise in planning meetings after you ve read the standard multiple times and
Regulatory Obligations ManagementThe Justice Department s new National Fraud Enforcement Division changes more than just who prosecutes fraud; it shifts what your compliance team needs to worry about and when. Assistant Attorney Gene
Regulatory Obligations ManagementThe SEC has sent a revised custody rule to the Office of Information and Regulatory Affairs for review. This aims to modernize how investment advisers handle client assets, including crypto. This is a
