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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 importance of securities regulation is reflected in the scale of U.S. financial markets. In 2025, the U.S. equity market showed record-breaking resilience, with the S&P 500...
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...
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...
(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 requiring a comprehensive, through-life, integrity management approach to assure air system integrity.
Most fintech founders know this story very well. A list of unexpected compliance requirements is omi...
The Prudential Regulation Authority’s recent enforcement actions and multi-million-pound penalties i...
RIs will be issued by the MAA to provide direction, and have the same authority as MAA regulation
RA covering the ownership and management of risk to life using a standardised approach and with regard to future risks.
RiConnect Inc. has aligned its latest rebrand and tagline — ‘COMPLIANCE INFRASTRUCTURE for OSHA & HSE’ — with the world’s leading regulatory authorities. Source
3 April – 3 May 2026 Introduction ESG is changing the landscape for financial institutions as stakeholders, including investors, increasingly expect them to make their operations m...
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,...
RA covering the requirement for an AMO to have a corrective action plan following an audit.
3 May – 3 June 2026 Introduction ESG is changing the landscape for financial institutions as stakeholders, including investors, increasingly expect them to make their operations mo...
RA covering the requirement that the MOD CAM devise and execute a corrective action plan on receipt of MAA audit findings.
The launch of Compliance Guardian expands The Guild's compliance support offering
This document shows the current 4000 series documents, along with the associated regulation titles.
Table of Contents: Introduction Customized communication has become embedded in regulated industries through routine practice... The post Customized Communications: Balancing Perso...
MAA issuing of an NPA allows a consultation period to be undertaken on a proposed amendment or the implementation of new regulation.
On 26 June 2026, the Gambling Commission (the Commission) published a Call for industry proposals to address the burdens associated with gambling regulation. This call for proposal...
This week, The PIE held the inaugural Compliance Con, bringing together compliance experts from across the UK sector. As tightened BCA thresholds loom, editor Beth Kennedy unpacks...
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