By Compliance Week2020-12-14T16:49:00
Six senior compliance practitioners share some big-picture thoughts on how their companies are using data within the context of regulators’ increased expectations in the area.
2020-12-09T14:38:00Z By Compliance Week
Six senior compliance practitioners reflect on how they anticipate the Joe Biden presidency, and the expected regulatory changes coming with it, will impact the compliance function.
2020-12-08T13:45:00Z By Compliance Week
Six senior compliance practitioners divulge how they fared in 2020, from wrestling with new risks amid the pandemic to the most valuable lessons learned during a year rife with crisis.
2025-10-17T21:09:00Z By Oscar Gonzalez
Even though the U.S. federal government is currently shut down, the U.S. Securities and Exchange Commission appears to still be at work. The financial regulator is reportedly investigating a major insurance and asset management company over its accounting practices.
2025-10-14T19:44:00Z By Anna Grover, CW guest columnist
Most compliance professionals have faced it: a regulator or client requests a policy, and several slightly different “final” versions appear. The issue often stems from reactive, siloed work without a unified governance framework.
2025-10-10T20:28:00Z By Tom Fox
Compliance professionals have long known that systems fail when governance does. An MIT study’s finding that 95 percent of enterprise artificial intelligence (AI) pilots fail underscores how essential compliance-grade discipline is to the success of emerging technologies.
2025-10-09T15:24:00Z By Brett Erickson, CW guest columnist
Banks emphasize risk-based compliance in their AML programs, citing it to regulators and embedding it in policy, yet many institutions still handle risk very differently in practice.
Site powered by Webvision Cloud