News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
Regulatory Obligations ManagementThe OCC s June 2026 consent order against a newly converted national bank highlights a critical lesson in BSA/AML remediation: changing your charter won t fix structural deficiencies. The bank, which
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
Third-Party Risk ManagementWhat Happened In 2023, 61% of organizations reported breaches involving third-party vendors. This isn t an isolated incident; it s a pattern showing systemic failures in assessing and monitoring vendo
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
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Third-Party Risk ManagementWhen Klue s OAuth integration was compromised in June 2026, attackers used a dormant credential to harvest tokens and access data from connected Salesforce environments. The breach didn t just affect
Regulatory Obligations ManagementIf your firm operates investment services across EU member states, you re now subject to a supervisory model that s fundamentally different from what existed three years ago. National competent author
Regulatory Obligations ManagementThe Joint Board of Appeal recently dismissed an appeal against the European Banking Authority (EBA), ruling that the EBA s decision not to investigate a complaint about a Finnish authority s handling
Disclosure & Financial ReportingThe European Single Access Point (ESAP) starts collecting data this month. If you re a compliance officer at an EU-listed company, an issuer with prospectuses filed in multiple member states, or a fir
Privacy & Data ProtectionThe EU Data Act takes effect in September 2025. If you re running connected products or cloud services with EU users, you re in scope, regardless of where you re headquartered. This isn t just another
Disclosure & Financial ReportingWhat Happened HSBC and Deutsche Bank s asset management arm, DWS Group , are facing allegations of greenwashing. The issue isn t that their marketing teams lied, but rather that their sustainability c
Ethics & ConductThe EU s anti-corruption directive took effect on May 31, and most compliance teams are getting it wrong. Not because they re ignoring it, they re just repeating the same implementation errors that pl
Privacy & Data ProtectionScope This guide addresses the compliance and risk management challenges created when regulatory enforcement actions conclude with undisclosed settlement terms. It s for privacy officers, compliance t
Regulatory Obligations ManagementEnforcement agencies often issue press releases that announce resolutions without detailing the underlying conduct. For your internal audit team, what s missing from these announcements is as importan
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
Regulatory Obligations ManagementThe Federal Court s decision in ASIC v FIIG Securities Limited has prompted many GRC leaders to reassess their risk management systems. The AUD 2.5 million penalty against FIIG is more than a headline
