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.

Crypto collapse

CFTC commissioner stresses ‘urgency’ in call for heightened crypto oversight

2022-12-01T19:42:00+00:00By

Christy Goldsmith Romero, a commissioner at the Commodity Futures Trading Commission, is lobbying the regulator to use its existing authority to conduct “heightened supervision” over derivative exchanges to create more oversight in crypto markets.

Elon Musk Twitter

Elon Musk, Twitter, and lessons in (mis)management

2022-12-01T14:49:00+00:00By

Senior executive shakeups, mass employee layoffs and resignations, major advertisers halting their ads—Elon Musk’s acquisition of Twitter provides a case study in leadership mismanagement for the ages.

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CPE Webcast: The intersection of compliance and culture

2022-11-29T14:00:00+00:00Provided by Avetta

There are few things as impersonal to the workforce as compliance, yet this is a critically important area where organizational focus around achieving or exceeding rules for good, safe work ebbs and flows based on powerful factors in and around our workforce.

Citi

Regs order Citi to address unresolved data management woes

2022-11-28T18:58:00+00:00By

Citigroup has successfully resolved key compliance shortcomings identified as part of a 2020 enforcement action but still has work to do to address data management weaknesses, according to federal banking regulators.

Goldman Sachs Tower

Goldman Sachs unit fined $4M for ESG investment lapses

2022-11-23T14:02:00+00:00By

Goldman Sachs Asset Management agreed to pay $4 million to settle SEC charges it failed to follow its own policies and procedures regarding a trio of investment products marketed for their environmental, social, and governance considerations.

BP

Ex-BP trader’s failed whistleblower claim to raise U.K. reporting bar?

2022-11-21T17:50:00+00:00By

A U.K. employment tribunal’s ruling that a former BP employee was not entitled to whistleblower protection has shone a spotlight on the legal issues workers must consider ahead of speaking up.

London dark

Regulatory independence vital in U.K.’s fight against fraud

2022-11-21T17:50:00+00:00By Rachel Adamson, International Compliance Association

To do their jobs properly, regulators must be able to act independently and without government intervention. Rather than seeking to tighten its grip on regulators, the U.K. government should be safeguarding their independence as a matter of urgent priority.

Crypto

FINRA to sweep crypto-related communications by broker-dealers

2022-11-18T17:09:00+00:00By

The Financial Industry Regulatory Authority announced an examination sweep of retail communications by broker-dealers and their affiliates related to cryptocurrency asset products and services.