Compliance into the Weeds: Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers
Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers
Adventures in Compliance: The Novels – The Hound of the Baskervilles, Introduction and Compliance Lessons Learned
Compliance Tip of the Day: Assessing Internal Controls
Compliance Tip of the Day: COSO Objective 5 – Monitoring Activities
Compliance Tip of the Day: COSO Objective 2 - Risk Assessment
FCPA Compliance Report: Fraud Risk Management - Insights and Experiences with Peter Schablik
#Risk New York Speaker Series – Inside Behavioral Insights: Tom Hardin on Compliance at #RiskNYC
Compliance Tip of the Day: COSO Framework
#Risk New York Speaker Series: Exploring AI Risks in Compliance with Gwen Hassan
Healthcare Enterprise Risk Management
Managing Sanctions Compliance
Regulatory Ramblings: Episode 68 - Why Geopolitical Risk Matters to Compliance and Legal Staff with Mark Nuttal and Chad Olsen
FCPA Compliance Report: Amanda Carty on a Due Diligence and Risk Management
Episode 364 -- Five Strategies to Mitigate a New Risk Environment
Strengthening Compliance: Lessons From the OCC's Consent Order With Patriot Bank — Payments Pros – The Payments Law Podcast
Compliance and AI: Ali Khan on Implementing AI Risk Management Systems
Compliance Tip of the Day: Superforecasting
Compliance Tip of the Day: The Last Mile
Key Takeaways From the OIG's New Compliance Guidance for Nursing Facilities — Assisted Living and the Law Podcast
President Donald Trump issued a presidential order (the Order) on July 8, 2025, retroactively prohibiting the acquisition of Jupiter Systems LLC, a Delaware limited liability company, by Suirui International Co. Ltd., a Hong...more
On 19 March 2025, the Legislative Council (the “LegCo”) passed the Protection of Critical Infrastructure (Computer System) Bill (the “Bill”), which is due to come into effect on 1 January 2026. This is a significant step in...more
With the launch of OpenAI’s ChatGPT in November 2022, one of the hot buzzwords is “artificial intelligence” (“AI”). Recently, more and more companies, especially small and medium-sized enterprises, purchase AI solutions from...more
INTRODUCTION - The rapid development of Artificial Intelligence (AI) has generated much excitement over the past two years. Since the public launch of Open AI's ChatGPT on 30 November 2022, generative AI and its...more
As Artificial Intelligence (AI) continues to evolve and integrates into business processes, the Office of the Privacy Commissioner for Personal Data (PCPD) released its Artificial Intelligence: Model Personal Data Protection...more
Swiss Banks Launch Tokenization Pilot, Crypto Custody and Trading Services - A recent press release announced a pilot by “SIX, the Swiss National Bank (SNB) and six commercial banks” that seeks “to test, in a live...more
The guidance encourages organisations to formulate a data breach response plan, and outlines recommendations for handling an increasing number of data breach incidents. On 30 June 2023, the Office of the Privacy...more
The SFC issued a statement to clarify its regulatory approach in relation to non-fungible tokens and remind investors of related risks. On 6 June 2022, the Hong Kong Securities and Futures Commission (SFC) issued a...more
Hong Kong now has its own set of recommended best practices for the development and use of AI published in a guidance note issued by the PCPD. Businesses which intend to or have begun to use AI in their operations are advised...more
Amidst its continued regulatory focus on money laundering and terrorist financing risks, the SFC seeks to clarify and consolidate guidance for licensed firms. On 18 September 2020, the Hong Kong Securities and Futures...more
In the wake of China’s new national security law for Hong Kong that went into effect on June 30, 2020, the Trump administration has taken several steps to significantly pare back Hong Kong’s preferential status under U.S....more
This edition provides an overview of key regulatory developments in the past three months relevant to companies listed, or planning to list, on The Stock Exchange of Hong Kong Limited (HKEx), and their advisers. In...more
On May 2, 2019, the US Department of the Treasury’s Office of Foreign Assets Control (OFAC) issued guidance titled “A Framework for OFAC Compliance Commitments” (Guidance), providing direction regarding what OFAC considers to...more
Retail Tracking Update: Privacy Guidance Following Nomi Technologies - There is currently a widespread effort to quantify everything, from steps, to sleep, to batted ball exit velocity. Fifteen years ago, TV host Jeremy...more
In this Guide: - Introduction - Managing the Internal Investigation - Disclosure from Third Parties - Steps to Preserve Assets/Documents - Civil Proceedings - Anti-Bribery/Anti-Corruption Legislation ...more
In This Issue: Consultations; New Listing Decisions; Regulatory Watch; New Guidance Letters; and Enforcement News. Excerpt from Consultations - Exchange’s Consultations on Review of Connected Transaction...more