Framework-grounded articles on policy management, controls testing, audit workflows, and regulatory compliance.
Internal AuditCompliance officers are raising questions after the Financial Conduct Authority s latest warning about Know Your Customer (KYC) control gaps at U.K. financial services firms. The FCA s message is clea
Regulatory ComplianceThe Challenge The Justice Department s new fraud division presents a strategic challenge for compliance officers: how do you prepare for enforcement priorities that aren t yet clear? Unlike regulatory
Regulatory ComplianceUnderstanding the EU Cyber Resilience Act Every week, I receive questions about the EU Cyber Resilience Act (CRA). Product managers wonder if their routers will comply. Security architects ask what se
Regulatory ComplianceThe SEC s recent enforcement action against Benjamin Tesfaye, who profited $18,668 from insider trading using information from his compliance officer girlfriend, highlights a common misunderstanding a
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Regulatory ComplianceThe SEC recently charged two former investment bankers, including a former Bank of America employee, with insider trading related to the 2022 acquisition of South Jersey Industries. These enforcement
Regulatory ComplianceThe EU s Anti-Bribery and Corruption directive took effect on May 31. If you re reading this in mid-2026, your window to demonstrate compliance is closing fast. The directive doesn t just tighten enfo
Regulatory ComplianceWhen defense contractors report their CMMC cybersecurity scores have climbed to a five-year high while admitting they don t trust those numbers, you re witnessing a compliance framework unraveling fro
Regulatory ComplianceThe Challenge The Department of Justice (DOJ) has settled a $400 million case with TikTok over repeated children s privacy violations, yet the specific terms of the agreement remain undisclosed. For c
Regulatory ComplianceCompliance programs designed for static systems can t detect AI s silent failures. Three regulatory cases and one international standard show what needs to change. What Changed AI systems have moved f
Regulatory ComplianceThe Challenge In 2018, Rice Lake Weighing Systems faced a compliance challenge: communicating a major sanctions policy change to its Italian subsidiary, Dini Argeo. The Trump administration s withdraw
Regulatory ComplianceUnderstanding the Proposed Changes Since the SEC and CFTC released their proposed amendments to Form PF on April 20, compliance officers have been buzzing with questions: Does this apply to us? What h
Regulatory ComplianceCompliance teams often falter not because they misunderstand regulations, but because they automate the wrong processes or do so in the wrong order. With DORA now in force since 17 January 2025, the E
Regulatory ComplianceThe Corporate Transparency Act s beneficial ownership reporting requirement is gone for U.S. companies. FinCEN s final rule exempts domestic entities and will delete previously submitted U.S. person d
