Posted inFinance

Lloyds IT glitch: Key lessons for compliance

IT outages seem to be increasingly prevalent in the financial services sector, despite a firmer focus on technical resilience by regulators both in the United Kingdom (U.K.) and the European Union (EU). A recent tech glitch that hit a major U.K. bank should compel compliance teams in the sector to review their IT security and incident reporting at the very least, say experts.

Posted inBest Practices

AI, finance and the new compliance mandate in APAC

A new report tells a story that compliance professionals should read carefully. While the report focuses on finance leaders across Asia Pacific, the real lesson for compliance is much broader: artificial intelligence is no longer a future-state technology discussion. It is now an operating model, risk management, governance, and controls issue. For CCOs, that means AI must move from the innovation agenda to the compliance agenda.

Posted inRisk Management

Gavin Proudley, SVP Risk & Compliance at Dow Jones, on compliance challenges from divergent rules and geopolitics

Diverging global rules, sanctions, and tariffs being โ€œweaponized,โ€ย  and more have made compliance complex even before the U.S. strikes on Iran. We asked Gavin Proudley, SVP Risk & Compliance at Dow Jones, what this means for compliance managers and how they can stay ahead of shifting geopolitics and tighter regulations.

Posted inRisk Management

Technoethics: The corporate responsibility gap leaders canโ€™t ignore

As AI adoption accelerates, organizations are quietly deprioritizing the very safeguards that keep them compliant โ€” creating governance blind spots, regulatory exposure, and stakeholder trust gaps that compound faster than most leaders realize. Compliance teams donโ€™t have to wait for the consequences to hit: implement the following concrete steps to put technoethics back at the center of AI strategy.

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