News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
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 ManagementWhen two managed investment schemes collapsed in Australia, the investigations revealed a familiar pattern: governance frameworks that seemed adequate on paper but failed in practice. The Australian T
Regulatory Obligations ManagementThe FCA s Mills Review, released in January, has prompted internal audit teams to quickly assess its implications. With feedback due by 24 February, many are questioning how to engage with the review
Regulatory Obligations ManagementThe Conventional Wisdom Your compliance team managing OTC derivatives might be celebrating the European Supervisory Authorities proposed amendments to bilateral margin requirements. The logic seems st
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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 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 ManagementSouth Africa s Draft National AI Policy, currently moving through Cabinet approval before the March 2026 public consultation, adopts a distributed approach to AI governance. Instead of establishing a
Regulatory Obligations ManagementThe Securities and Exchange Commission (SEC) has filed a rule with the Office of Information and Regulatory Affairs titled Rescission of Policy Regarding Denials in Settlements of Enforcement Actions.
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 European Commission s digital package promises a single-entry point for cybersecurity incident reporting across GDPR , NIS2 , DORA , and other regulations. On paper, this sounds like the administr
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 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 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 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 revised interagency model risk guidance issued on April 17, 2026, by the FDIC, OCC, and Federal Reserve presents a critical decision for banking compliance teams: should you govern all models with
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 ManagementThe Conventional Wisdom The SEC s 2026 regulatory agenda suggests relief. With 38 items focused on deregulation, compliance teams are anticipating a lighter workload. Proposed amendments to rule 206(4
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 authorization of EuroCTP B.V. as the Consolidated Tape Provider for EU shares and ETFs presents a critical decision point for financial institutions. How will you access and operationalize this da
