Risk & Regulatory Compliance

Compliance Week is a business intelligence service on corporate governance, risk, compliance, and audit. We support a community of professionals through award-winning journalism, live and live-streamed events, sponsored Webcasts, continuing education and training, industry surveys, case studies, and downloadable resources.

Business argument

Materiality, Scope 3 emissions elicit debate in SEC climate rule comments

2022-07-06T13:40:00+01:00By

Comment letters in response to the SEC’s climate-related disclosure rule have laid out opponents’ issues with the proposal, while supporters have used the process to buttress the agency’s case for implementing it.

SEC building

SEC’s Peirce weighs CCO enforcement case against liability framework

2022-07-05T17:41:00+01:00By

What would it look like if the SEC adopted a chief compliance officer liability framework? Commissioner Hester Peirce offered a preview in a statement regarding an enforcement action against the CCO of a formerly registered investment adviser.

AI regulation

Survey: Spending on AI, new tech to increase despite known risks

2022-07-05T13:44:00+01:00By

Companies are set to ramp up spending on artificial intelligence and other technologies in the coming years despite expectations of rising legal disputes over its use and implementation, according to a new survey.

Mass storage

Financial volatility, supply chain disruptions among PCAOB 2022 inspection focuses

2022-07-05T13:40:00+01:00By

The Public Company Accounting Oversight Board will pay increased attention to how auditors are addressing changing risk landscapes because of the current economic environment during its 2022 inspections.

Credit Suisse

Credit Suisse money laundering verdict start of new era of Swiss enforcement?

2022-07-01T17:58:00+01:00By

Credit Suisse became the first major Swiss bank to be prosecuted for money laundering in the country after the Federal Criminal Court of Switzerland found the bank guilty of washing money connected to a Bulgarian drug smuggling syndicate.

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CPE Webcast: Managing challenges of sanctions screening in your third-party risk program

2022-06-30T14:00:00+01:00Provided by Control Risks

Sanctions are one of the most important risk factors to consider in any compliance program. No one wants to be found to have business ties to a sanctioned entity given the potential for significant financial penalties and reputational damage.

China flags

Uyghur Forced Labor Prevention Act should prompt due diligence reassessment

2022-06-30T12:15:00+01:00By

All companies with a global footprint should be reevaluating their supply chain due diligence and documentation practices to show the absence of forced labor in the wake of the Uyghur Forced Labor Prevention Act taking effect.

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e-Book: Avoiding pitfalls of working in high-risk regions

2022-06-30T07:07:00+01:00Provided by

The issues of working in high-risk regions have always been there, but recent dynamic events and circumstances have added unique challenges.