SFO guidance on evaluating compliance programs short on specifics, experts say
Companies looking for greater certainty about how they might avoid criminal prosecution for bribery, fraud, and corruption offences may find they’re going to be disappointed if they’re looking for definitive answers in the latest guidance from the U.K.’s main fraud investigator, say experts.
FINRA’s GenAI wake-up call: What compliance professionals must do now
FINRA’s rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in their businesses, just as they apply when companies use any other technology or tool. But what does that mean for a compliance professional using GenAI?
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.
Trump tirade against DEI turns to proxy advisors and shareholder proposals
President Donald Trump has directed the Securities and Exchange Commission (SEC) to review—and remove—any SEC rules or guidance that allow proxy advisors to influence business practices related to diversity, equity and inclusion (DEI) and environmental, social and governance (ESG) policies.
Trump takes aim at state AI laws, promises federal action on AI legislation
President Donald Trump has issued an executive order aimed at dismantling the artificial intelligence (AI) laws of California, Colorado and three other states with comprehensive laws.
FINRA annual regulatory report offers AI guidance, points to significant risks
Financial firms seeking guidance on AI, the threat of cyberattacks, market manipulation, or fraud targeting senior clients can turn to annual guidance issued by the Financial Industry Regulatory Authority.
New regulatory regimes for U.K. and EU ESG ratings firms could increase compliance costs
Environmental ratings are becoming big business as companies seek proof of sustainable and socially beneficial conduct. Firms that issue ratings on environmental, social and governance (ESG) performance are set to be regulated in the EU and U.K.
FCC rolls back Biden-era cybersecurity requirements for telecoms
Telecommunication companies are now on the honor system to protect their networks from cyber attacks, following a Federal Communications Commission (FCC) vote that removed requirements that they harden their networks.
California may create whistleblower program to root out privacy law violations
A California privacy agency plans to seek a whistleblower law, to encourage corporate employees and others to step forward with complaints about egregious privacy violations at their workplaces.
OCC proposes dropping its ‘recovery plan’ requirements for big banks
Less than a year after a new rule required more of the U.S.’s biggest banks to draft “recovery” plans in case of failure, the rule is on its way out.
Sanctions, money-laundering and supply chains top agenda for energy sector compliance
The energy sector faces rising regulatory activity, with more rules and enforcement. Bribery, corruption, and sanctions now dominate compliance concerns, driving rapid change and pressure on compliance officers.
Navigate SEC cautiously during shutdown, experts advise
The U.S. government shutdown has brought most operations at the Securities and Exchange Commission (SEC) to a screeching halt, but that doesn’t mean compliance teams should be taking a breather, experts advised.
California climate rules cause uncertainty as CARB delays draft guidance
California has delayed the release of draft greenhouse gas reporting rules for businesses until early 2026, the California Air Resources Board said.
New EU Data Act may impact companies’ GDPR compliance efforts
New rules that have recently come into effect across the EU will allow for greater transfers of data between companies, though experts fear the changes could conflict with Europe’s strict privacy legislation, which protects personal information.
Nine states collaborating on data privacy enforcement across state lines
Nine states are collaborating to write and enforce comprehensive data privacy laws, in an effort to protect consumers across jurisdictions and due to the absence of a broad, federal privacy law.
FINTRAC hits British Columbia crypto firm with record $125M penalty for AML failures
Canada’s financial intelligence agency has issued its largest-ever penalties against a cryptocurrency exchange, a fine of $126 million (CA$176.9 million). The agency said the exchange’s compliance failures represented a “severe breach of Canada’s anti–money laundering framework.”
NYDFS to firms: apply cybersecurity rules to third-parties
The New York State Department of Financial Services (NYDFS) wants financial firms to step up their game when it comes to third parties and cybersecurity.
Navigating HHS and FDA’s overhaul of the food and beverage industry
Under the Trump administration, the Department of Health and Human Services and the Food and Drug Administration have been hellbent on eliminating synthetic food dyes from food and beverage products, forcing a jarring and costly overhaul with cascading impacts on the operations of the entire industry.
Oct 14 | CPE Webcast: Navigating Evolving Banking Regulations in the U.S. and Canada
U.S. Banking regulators have moved to loosen traditional regulation and supervision in areas like capital requirements, stress testing and liquidity, while also being more receptive to innovation in areas including Artificial Intelligence and digital assets.
How food and beverage companies adjust to the throes of tariff woes
On-again-off-again tariffs, a down economy, and a long list of global supply chain disruptions are challenging U.S. food and beverage companies to adjust their supply chain operations in a variety of ways.
U.K. FCA establishes framework for unlisted companies to trade shares on a ‘buyer-beware’ basis
Private companies that are keen to trade their shares but do not wish to become listed have gained another way to trade their shares. The U.K. government completed its initial review and published rules for the system in June.
LuminUltra fined $685K by BIS for illegal shipment to Iran
A single $33,000 shipment to Iran triggered a six-figure penalty and years of compliance oversight for biotechnology company LuminUltra Technologies, Inc.
DOJ is ramping up, not ramping down, health care fraud enforcement
While the Trump administration may have shifted away from pursuing small, white-collar, financial crimes, its focus on health care fraud cases is as hot as ever.
CFPB Ends Oversight of Washington Federal and Planet Home Lending
The Consumer Financial Protection Bureau (CFPB) terminated two consent orders with mortgage lenders in September as the agency’s enforcement power shrinks under Trump-era cuts.
U.K. enforcement appetite over off-channel comms grows as U.S. wanes
The U.K’.s financial regulator has given a strong indication that financial firms’ use of unauthorized devices and apps is under scrutiny and that policies around off-channel communications need to be tightened up.
Compliance should prepare for more ESG reporting as global pressure rises
Most major organizations are not changing their ESG reporting plans, despite “regulatory ambiguity”, according to a report by consultancy KPMG. The researchers say this indicates market expectations are driving action as much as legal requirements.
FinCEN seeks to lighten the regulatory load on casinos
Regulatory relief from anti-money laundering rules is in the cards for casinos, insurance companies and other non-bank financial institutions, the U.S. Treasury Department’s Treasury’s Financial Crimes Enforcement Network (FinCEN) said Monday.
Prosecutions of bribery, health fraud and market tampering are DOJ top priorities
Serious bribery, health care fraud and crimes that threaten U.S. investors are top enforcement priorities of the Trump Department of Justice, (DOJ), according to the acting head of the Department of Justice’s Criminal Division.
U.K. to introduce mandatory ransomware reporting, raising risk of ‘box-ticking’ compliance
The U.K. will require companies to report ransomware payments, but experts warn this could lead to “box-tick” compliance rather than real cyber-resiliency, since it’s cheaper.
More than 100 ‘anticompetitive’ federal regulations poised for the chopping block
About 125 federal regulations deemed anticompetitive by President Trump are poised for possible elimination, following recommendations delivered Wednesday to the Office of Management and Budget (OMB).
Trump wants SEC to toss quarterly reporting requirement
President Donald Trump is pushing for a shake-up in corporate reporting rules, calling on companies to file earnings with the SEC only twice a year instead of every quarter.
Digital wallets to speed up regulatory checks for recruitment, property transactions
You can already buy a coffee with your phone, but soon you could start a job or buy a house with it. Digital compliance wallets holding certificates and documents on smartphones are gaining traction worldwide.
U.K. delays audit reforms even as regulator piles on financial pressure
Delays to the U.K.’s Audit Reform and Corporate Governance Bill and creation of the ARGA regulator have sparked criticism. On Sept. 8, 66 MPs sent a letter to the Prime Minister urging reforms be returned to the Parliamentary agenda.
FTC ends appeal over noncompete ban but seeks public input
The FTC officially withdrew its appeal in a federal court case over its ban on employer noncompete clauses that it passed last year. The agency, however, says it wants public input regarding the effects of employer noncompete agreements.
Hospitals, health IT face HHS crackdown for blocking electronic records
The Department of Health and Human Services is stepping up its enforcement against hospitals and other health entities that block the sharing of electronic health records.
Digital wallets should speed up compliance, but companies must focus on trust and security
The EU has one, the U.K. is getting one, many U.S. states are working with Google and Apple to provide one, and now industry sectors are developing their own digital wallet.
FinCEN again delays U.S. ban on three Mexican financial institutions
The order barring three Mexican financial institutions from doing business with U.S. financial institutions has been delayed until October.
SEC taps military judge as Enforcement Division Director
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.
CPE Webcast: Risky Business: Navigating Compliant Innovation Amid Deregulation
The compliance landscape has entered unprecedented territory, characterized by what industry experts describe as “deregulation on top of deregulation” – a dangerous departure from the traditional regulatory cycle that historically provided stability and clear guidance.
California privacy regulator unveils new cyber, risk, and automation rules
Businesses operating in California will need to meet new, first-in-the-nation privacy requirements for cybersecurity, risk assessments, and automated decision-making technology, under a large expansion of rules by the state.
CPE Webcast: Navigating Evolving Regulations: Key Insights for Compliance Leaders
This webinar tackles the current legal landscape head-on, giving compliance officers a practical lens on the latest developments impacting your oversight responsibilities.
DOJ, EPA take legal action against the California Air Resources Board
The U.S. Department of Justice has filed two lawsuits against the California Air Resources Board, claiming it no longer has the legal right to enforce strict emissions rules for heavy-duty trucks.
‘Extraordinary cooperation’ pays off for PFS Investments
As regulators shift toward rewarding transparency, self-regulation and self-reporting, the way PFS Investments handled a longstanding problem serves as an example of how proactive remediation can turn a costly compliance error into a manageable regulatory outcome.
Compliance in the spotlight as tariffs, sanctions turn into geopolitical weapons
Navigating tariffs and sanctions is becoming a core part of compliance for many companies. As the U.S. and others use economic policies for political aims, compliance teams must adapt to this new geoeconomic trend.
EPA relaunches online portal for thousands of environmental guidance documents
The U.S. Environmental Protection Agency reopened its guidance portal on Wednesday. This online portal is a searchable database of EPA guidance documents, first created during President Donald Trump’s first term and shuttered under the Biden administration.
Nine regulatory initiatives under SEC’s “Project Crypto” aim to redefine crypto market rules
Securities and Exchange Commission Chairman Paul Atkins has launched “Project Crypto,” a major regulatory overhaul aimed at shifting the agency from enforcement to innovation. Atkins’ address outlined as many as nine Commission-wide initiatives to revamp the SEC’s rulebook for the digital finance era.
New federal memo signals elevated risk to colleges engaging in DEI activity
A new memorandum from President Trump directs increased federal scrutiny of race- and sex-based admissions practices at colleges and universities, however, its implications extend beyond higher education.
FinCEN delays AML rules for realtors and investment advisors until 2028
The Treasury Department’s Financial Crimes Enforcement Network is delaying an upcoming requirement that investment advisors and realtors begin screening clients for money laundering and other illegal activity.
DOJ warns against using proxies for DEI in federally funded programs
The DOJ is warning that simply scrubbing DEI-related words from policy documents or training materials—and replacing them with thinly veiled proxies—will not protect federally funded organizations from legal scrutiny.
U.K. proposes streamlining regime meant to hold fin serve executives to account
When growth slows, governments often cut rules to attract investment, as the U.K. has in its financial services sector, which contributes 8.8% of GDP, but easing the “compliance burden” raises concerns about oversight, governance, and prioritizing profits over safety.