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Nominations open for Compliance Week’s 2026 “Excellence in Compliance Awards”
Back for its seventh year, Compliance Week’s Excellence in Compliance Awards seek to honor the CCOs, compliance programs, trail-blazers, industry veterans, mentors and up-and-coming professionals who set the standard for compliance in 2026.
Top Ethics and Compliance Triumphs of 2025
This year’s compliance triumphs were all born out of compliance fails. In some cases, it was a regulator finding fault and demanding change. In others, acquiring companies noticed something a little fishy in their new acquisition. What formed a compliance triumph in every case wasn’t the mistake; it was the ...
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.
FCA helps firms to test Artificial Intelligence tools safely
The U.K.’s financial regulator has set up a live-testing environment so that firms can road-test their Artificial Intelligence (AI) services safely before launching them to the public.
EU financial firms must prepare now for new rules on critical third-party arrangements
European banks and financial institutions must prepare now for stringent new rules on third-party suppliers.
EU moves to simplify GDPR and AI Act obligations, raising compliance questions for companies
For the past decade, Europe has led in creating strong but flexible rules for data use and safe AI development. The EU’s new plans to simplify key data privacy and AI governance measures have received a mixed response.
The FCPA’s origin story: Why “Bribery Beyond Borders” is essential reading
I have often thought the facts of many Foreign Corrupt Practices Act (FCPA) enforcement actions would make the basis for a great series of crime-thriller books. But it turns out the origins of the FCPA itself are as dynamic, fast-paced and exciting as any such work of fiction.
U.K. data regulator pushes transparency on investigations
Plans to increase transparency around how the U.K.’s Information Commissioner investigates and fines companies should give businesses more clarity, but experts say the regulator still needs to explain how it will prioritize cases.