News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
Regulatory Obligations ManagementESMA's new PTRR rules under EMIR 3 redefine clearing obligation exemptions for derivatives. This guide outlines steps to align risk management and compliance.
Regulatory Obligations ManagementThe US Treasury Department recently imposed $1.21 billion in penalties on Bank of America for anti-money laundering (AML) lapses and alleged sanctions violations. The Financial Crimes Enforcement Netw
Regulatory Obligations ManagementWhen the Federal Reserve Board entered into a Written Agreement with a bank holding company on August 14, 2026, the action itself was unremarkable. What matters is the pattern it confirms: holding com
Regulatory Obligations ManagementThe Problem: Why This Matters Now You ve filed a Suspicious Activity Report (SAR). Your customer calls asking why their wire transfer was delayed. Until now, most compliance teams defaulted to silence
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Regulatory Obligations ManagementYou re evaluating compliance software for a regional bank with 47 branches. The vendor shows you a dashboard: 94% policy attestation, 312 monitoring reviews completed, 18 open issues. You ask which br
Regulatory Obligations ManagementIf your team clears derivatives through non-EU central counterparties, you ll soon need to formalize your reporting process. ESMA s new framework requires structured annual submissions starting after
Regulatory Obligations ManagementThe Question at Hand Your compliance team is evaluating a transaction monitoring platform. The vendor demo looks polished, the features meet your requirements, and the price is reasonable. But here s
Regulatory Obligations ManagementThe question isn t academic anymore. Between now and March 2026, the Central Bank of Nigeria , Bank of Ghana , and South African Prudential Authority have all issued directives making board-level risk
Regulatory Obligations ManagementYou ve built an AI governance process. Europe has a framework. The U.S. team has a different one. Product teams route requests through both. Six months later, no one can tell you which business units
Regulatory Obligations ManagementThe European Securities and Markets Authority (ESMA) has set 11 October 2027 as the transition date for T+1 settlement in EU financial markets. The first regulatory deadline is 7 December 2026 for all
