Risk & Regulatory Compliance
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SEC’s Uyeda: ‘Enforcement is the wrong way’ to handle off-channel communications
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.
Compliance must focus on corruption as EU and U.K. seek to tackle rising risks
Corruption isn’t something that happens somewhere else, in other countries and committed by other people. Nowhere is corruption-proof, and new rules being introduced in the EU and the U.K. aim to focus compliance officers on the full gamut of risks in all jurisdictions and every sector.
GSA’s draft AI Clause turns governance into a contractual mandate
A sweeping proposed federal procurement clause would push AI oversight out of policy decks and into compliance operations, vendor management, and real-time control testing.
U.K. competition regulator ‘very likely’ to use new enforcement powers despite government’s pro-growth agenda
New powers granted to the U.K.’s main competition watchdog will result in greater scrutiny, tougher enforcement, and a stark warning for companies to review their sales and marketing promotions—especially since some practices have been pushed firmly into the spotlight thanks to legislation that came into effect last year.
From enforcer to coach: Engineering compliance that happens at speed
New Gartner research reveals why traditional risk management is failing to keep pace with modern risks, and outlines how compliance leaders must enable organizational risk owners to build an instinctive Risk Reflex.
Leveraging COSO to mitigate AI risk: A step-by-step guide
AI elevates compliance, or exposes it. The technology presents compliance leaders and lawyers with an extraordinary opportunity to elevate their roles, as well as an equally extraordinary risk of accountability when AI fails, misleads, discriminates, hallucinates, or generates unreliable outputs.
Does attorney-client privilege extend to exchanges with AI platforms? U.S. courts offer mixed messages
Federal court judges in New York and Michigan have offered split rulings on whether AI prompts seeking information from AI platforms are subject to the attorney-client privilege.
An appreciation of CW’s data and research journalist, Aly McDevitt
One of the best things about writing for Compliance Week is reading the fabulous work by my colleagues. For me, CW data and research journalist Aly McDevitt has always stood out as someone whose work in reporting on and writing the Compliance Week case studies is work I have greatly ...