News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
Regulatory Obligations ManagementThe EU s Corporate Sustainability Due Diligence Directive (CSDDD) isn t a one-size-fits-all mandate. Your compliance path depends on three variables: where you operate, how much revenue you generate i
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
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Regulatory Obligations ManagementYou re not ignoring EU regulations. You ve assigned someone to track them, maybe even budgeted for a consultant. But if your organization treats CSRD , CSDDD , or the EU Retaliation Protection Directi
Regulatory Obligations ManagementThe NIS2 Directive introduces a two-tier classification system that determines your compliance obligations. Your classification isn t arbitrary; it s driven by sector criticality, operational dependen
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
Regulatory Obligations ManagementIf you can sell it in seconds, it s liquid, right? That logic works for municipal bonds and money market funds, but it fails for cryptocurrency. The Real Issue The problem isn t crypto s volatility. Y
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
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 ManagementIn March 2023, Deputy Attorney General Lisa Monaco announced significant updates to the Department of Justice s evaluation criteria for corporate compliance programs. These changes mark a fundamental
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 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 3 September 2026 deadline for ESMA s weekly commodity derivatives position reporting framework demands a technical decision you can t defer. Your organization must submit reports using XML schema
