The U.S. Securities and Exchange Commission’s Mark Uyeda told an audience of investment advisers that the SEC will no longer prioritize stand-alone enforcement actions for violations of the SEC’s rules on off-channel communications.
Aaron Nicodemus
Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass.
Email: aaron.nicodemus@complianceweek.com
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Posted inTechnology
The third party you forgot to vet: AI tools and the TPRM blind spot in manufacturing
AI tools are arriving through the back door of enterprise software — no contract, no due diligence, no TPRM trigger — and most manufacturing compliance functions have no idea they are already inside, writes Lydia Montalbano.
Posted inTechnology
Compliance Week AI event: How to build trust and ethics into AI tools from the start
What, exactly, do we want AI to do in our organizations?
Posted inData Privacy
Safely leveraging generative AI: A practical guide for compliance leaders
Generative AI (GenAI) has moved rapidly from experimentation into day-to-day use across many organizations. Over the past year, teams have shifted from exploratory pilots to relying on these tools for core activities such as contract analysis, research, and software development.
Posted inAnti-Bribery
Top Ethics and Compliance Triumphs of 2025
This year’s compliance triumphs were all born out of compliance fails. In some cases, it was a regulator finding fault and demanding change. In others, acquiring companies noticed something a little fishy in their new acquisition. What formed a compliance triumph in every case wasn’t the mistake; it was the response.
Posted inAnti-Bribery
Bribery exposure doesn’t start with policy failure. It starts with training.
Anti-bribery and corruption failures in financial institutions rarely stem from bad policies.
Posted inTechnology
Q&A with FINRA’s Greg Ruppert on the organization’s use of Artificial Intelligence
Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared insights with Compliance Week regarding the self-regulatory organization’s use of Artificial Intelligence in monitoring trends in the market, spotting threats, and keeping its members informed.
Posted inFrom the Archive
Why the EU’s new Machinery Regulation is a wake-up call on cybersecurity
The European manufacturing industry is on the cusp of a regulatory shift that promises to reshape how machines are designed and operated.
Posted inFrom the Archive
Your organization’s records programs need a makeover. Here’s how to make the business case.
Companies are giving their records management programs a makeover, and not for the reasons you may think. What used to be a sleepy back-office legal department function is now front and center, often driven by compliance teams.
Organizations are discovering that a “save everything, forever” de facto policy doesn’t just create risk, it drags down how efficiently people work.
Posted inAnti-Bribery
Texas gas company found that its merger acquisition paid a cartel-connected entity
A Texas-based gas company has disclosed that a Mexican affiliate made payments to local government officials that may have benefited a cartel designated as a terrorist group by the U.S. government. Entanglement with cartels is an increasing risk for companies doing business in Mexico.
