Compliance

The SEC has issued more than $1.5 billion in fines and brought two dozen-plus enforcement actions against Wall Street for recordkeeping failures. But despite federal regulators’ focused attention on electronic …

The average financial institution has dozens of regulations it must follow and more than half a dozen regulatory bodies to which it must answer. Complying with existing rules and preparing …

Artificial intelligence (AI) is increasingly permeating all aspects of modern society and commerce: from use in automated decision-making processes to facial recognition and generative AI. At the same time, the …

Whether statutorily mandated or not, whistleblower programs can help companies prevent major ethical or legal breaches before they occur. LRN’s Susan Divers shares insights about building or strengthening whistleblower programs …

CCI columnist and compliance author Mary Shirley addresses an often-overlooked scenario in the hiring process: companies going silent or declining to respond to candidate requests for updates. There are many …

Online platform regulation is advancing across the globe, with the European Union (EU) and the Asia Pacific (APAC) region at the forefront. The EU has enshrined its digital strategy as …

Feel safe in the knowledge that you’re covered by KYC checks? Are you sure about that? An arms race of sorts is brewing between financial institutions and cybercriminals to see …

In absence of a single national data privacy law, companies continue to face a multi-state balancing act. Data privacy practitioner Scott Allendevaux sets the scene. A patchwork of advancing data …

The scope of a CEO’s job is wide, to be sure, but as data privacy and cybersecurity continue to come to the fore, a group of experts from FTI Consulting …

The California legislature this month passed a landmark bill requiring large companies, both public and private, to disclose their greenhouse gas emissions, a requirement that’s expected to affect about 5,000 …