News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
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
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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
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 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
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
