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Regulatory Requirements Compliance Monitoring

Carlton Fields

NAIC Working Group Paints a Picture of Insurer Oversight Expectations

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On August 7, 2025, the National Association of Insurance Commissioners’ Annuity Suitability (A) Working Group released draft safe harbor regulatory guidance that paints a clearer picture of how insurers should oversee third...more

NAVEX

[Webinar] Proof in the Process – Why Documentation and Visibility Define Supply Chain Success - September 9th, 10:00 am - 10:45 am...

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The strength of your supply chain isn’t just in the partners you choose – it’s in the records, oversight, and accountability that prove your program works. This webinar explores how effective documentation and visibility...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: August 22, 2025, The WADA Returns Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News....more

A&O Shearman

UK FCA findings on multi-firm review of data quality control frameworks in benchmarks sector

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published a new webpage summarising the findings of its multi-firm review into how benchmark administrators (BMA) manage data-related risks. While the FCA found some firms to...more

Hanzo

Audit Readiness in Financial Services: A Practical Guide for High-Stakes Compliance

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In the financial services industry, audit preparation has become a continuous discipline that requires rigorous data governance, operational foresight, and real-time adaptability. This is especially important as compliance...more

StoneTurn

So You Have a Trade Compliance Program. Now What?

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In today's complex global trade environment, establishing tariff strategies and trade compliance programs has become table stakes for international businesses. But having a compliance framework on paper is only the beginning....more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day - The ROI of Compliance

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more

Thomas Fox - Compliance Evangelist

AI Today in 5: August 6, 2025, The Rethinking Compliance Episode

Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: COSO Governance Framework - Part 5, People

Welcome to “Compliance Tip of the Day,” the podcast where we 5bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Design - Centric Internal Controls

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more

Association of Certified E-Discovery...

The EU’s Legal Tech Tipping Point – AI Regulation, Data Sovereignty, and eDiscovery in 2025

As we navigate through 2025, the European legal landscape is undergoing a significant transformation, particularly in the realms of artificial intelligence (AI) regulation and data sovereignty. These changes are reshaping how...more

Health Care Compliance Association (HCCA)

Healthcare Enterprise Risk Management

Risk assessments are not new in healthcare, and in specific regulatory areas are required. But, that doesn’t mean things aren’t changing. More and more organizations are embracing enterprise risk assessments (ERM) as a way...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: What is a Gap Analysis

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more

GeoDataVision

Importance of Compliance Management in times of transition

GeoDataVision on

Dean and Len highlight why strong, proactive compliance management is crucial for financial institutions facing regulatory change and emerging risks....more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: The Future of Continuous Monitoring

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more

Rivkin Radler LLP

Quality of Care Considerations in OIG’s Nursing Facility Compliance Guidance

Rivkin Radler LLP on

In November 2024, the U.S. Department of Health and Human Services’ Office of the Inspector General (“OIG”) published the long-awaited Industry Segment-Specific Compliance Program Guidance for Nursing Facilities (“Nursing...more

Bodman

Resolutions for Healthcare Providers: Part 2 of 2 – Compliance Plans, Risk Assessments, and Improved Workflows

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As the new year continues, it is useful to review your practice’s processes and policies to ensure that the practice operates with efficiency and remains compliant with ever-changing healthcare regulations....more

Dentons

Ep. 51 – Building Effective Compliance Committee Agendas

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Many healthcare organizations understand the importance of having a Compliance Committee but some struggle to use their committee effectively. The key to ensuring the Compliance Committee is effective is building smart...more

Ankura

The Power of Data Analytics: Unlocking the DOJ’s 2024 Compliance Guidance

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How do compliance teams in major corporates keep pace with the exponential growth of company data and the wealth of regulation they face? And in the face of this, how do they maintain an effective compliance programme robust...more

SEC Compliance Consultants, Inc. (SEC³)

How Much Testing is Enough?

Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more

Thomas Fox - Compliance Evangelist

Boeing: Accept the Omnibus Monitor Approach

I recently wrote a series of blog posts and articles on why the Department of Justice (DOJ) should think big and go big with a completely new approach to the monitorship for Boeing under its agreement to take a guilty plea....more

Downey Brand LLP

USEPA Requires Monitoring and Treatment to Limit and Reduce PFAS in Drinking Water

Downey Brand LLP on

Today, the U.S. Environmental Protection Agency (USEPA) announced the final National Primary Drinking Water Regulation establishing the first national legally enforceable drinking water standards (Maximum Contaminant Levels...more

Latham & Watkins LLP

FCA Sets Out Latest Areas of Focus Under the Consumer Duty

Latham & Watkins LLP on

FCA finds firms have been working hard to embed the Duty, but there remains room for improvement. On 20 February 2024, the FCA published more information on the Consumer Duty, including a publication highlighting good...more

Health Care Compliance Association (HCCA)

[Event] Regional Compliance & Ethics Conference - February 22nd - 23rd, Anchorage, AK

Looking for compliance education and networking in your area? SCCE & HCCA’s Regional Compliance & Ethics Conferences bring compliance practitioners from all disciplines together for convenient, local compliance education....more

Society of Corporate Compliance and Ethics...

[Event] Regional Compliance & Ethics Conference - February 22nd - 23rd, Anchorage, AK

Looking for compliance education and networking in your area? SCCE & HCCA’s Regional Compliance & Ethics Conferences bring compliance practitioners from all disciplines together for convenient, local compliance education....more

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