Compliance Capacity
So as long as we’re talking about semi-annual vs quarterly reporting – It has long been observed that the disclosure obligations of the federal securities laws function as sub rosa...
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So as long as we’re talking about semi-annual vs quarterly reporting – It has long been observed that the disclosure obligations of the federal securities laws function as sub rosa...
The Compliance Institute polled 150 compliance professionals working primarily in Irish financial services organisations. Read more: Data breaches going unreported, says Irish com...
(Note: A list of links for all articles in this series can be found at the conclusion of this article.) In the previous installments of this series, we traced the arc from raw comp...
RA covering the requirement that the MOD CAM devise and execute a corrective action plan on receipt of MAA audit findings.
Compliance-reporting teams keep spreadsheets in the loop for a practical reason: a workbook lets domain experts inspect assumptions, formulas, source rows, and intermediate values...
Amazon Web Services (AWS) is excited to release the Spring 2026 System and Organization Controls (SOC) 1 and 2 reports in machine-readable OSCAL format alongside the PDF version of...
RA covering the requirement for an AMO to have a corrective action plan following an audit.
Off-channel communications compliance is moving beyond which tools firms permit. The deeper challenge is whether firms can evidence control over who is in scope, which channels are...
SAG Infotech Private Limited is developing an AI software system to automatically detect compliance errors for professionals. The company’s latest system will assist Chartered Acco...
On 29 May 2026, the European Securities and Markets Authority (ESMA) published its sixth annual report on the quality and use of regulatory data. Compared to previous annual report...
Building on recent public statements by Commodity Futures Trading Commission (CFTC or Commission) Enforcement Director David Miller,[1] the CFTC’s Division of Enforcement (the Divi...
Email is one of the primary ways people share information, connect with customers and get work done. It is also one of the easiest channels for risk to slip in. A mistyped address,...
ESMA has turned the long-running industry case for “report once” transaction reporting into a staged policy programme for rebuilding EU reporting around reusable, controlled transa...
Alternative compliance path aims to cut delays and costs, but industry flags fresh scrutiny.
Why Legal Risk Is Still Managed After the Party … There’s a particular silence that settles over a boardroom when a compliance problem stops being theoretical. It usually arrives j...
Sponsor Licence Compliance Support UKVI expects sponsors to maintain effective systems and controls, keep prescribed records, monitor sponsored workers and meet their reporting...
On 26 May 2026, there was published a report from the European Commission (Commission) to the European Parliament and the Council on the Commission’s assessment of the markets for...
UK companies face a new reporting deadline London is moving toward a stricter sustainability reporting regime, and companies now have less time to prepare their systems, governance...
Nineteen states and the District of Columbia have filed a lawsuit challenging the federal government’s rollout of Executive Order (EO) 14398, “Addressing DEI Discrimination by Fede...
Important note: This post provides a general overview of compliance maintenance. For specific advice that accounts for the laws and regulations in your area, consult a local legal...
On 8 July 2026, HM Treasury published ‘Regulation Action Plan Progress Report (July 2026)’ and ‘Update Against the Regulation Action Plan’s Key Regulator Pledges (May 2026)’. Regul...
RiConnect Inc. has aligned its latest rebrand and tagline — ‘COMPLIANCE INFRASTRUCTURE for OSHA & HSE’ — with the world’s leading regulatory authorities. Source
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