News & Analysis as of

Risk Management Third-Party Risk

A&O Shearman

ESAs publish joint guide on oversight of critical third-party providers under DORA

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The European Supervisory Authorities (European Banking Authority, European Insurance Occupational Pensions Authority, and European Securities and Markets Authority) have published a joint guide detailing their oversight...more

NAVEX

[Webinar] Rethinking Risk – Supplier Evaluation Before and After Onboarding - August 12th, 10:00 am - 10:45 am PDT

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Learn how to build a more agile, informed and resilient supply base by embedding supplier risk frameworks across the onboarding process and beyond....more

Hogan Lovells

Exclusion in Practice: Connected and Associated Persons under the Procurement Act 2023

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In our first article in this series, we explored the expanded mandatory and discretionary exclusion grounds under the Procurement Act 2023 (the "Act"). The Act doesn't just expand the grounds for exclusion. It also changes...more

Pillsbury Winthrop Shaw Pittman LLP

DORA Now Fully in Effect: Financial Entities and Their Service Providers Reach Critical Milestone

With DORA in effect and the European Banking Authority’s updated guidelines for non-ICT services under consultation, financial entities must consider their approach to third-party risk management. After DORA became effective...more

A&O Shearman

EBA consults on draft guidelines for third-party risk management for non-ICT related services

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The European Banking Authority (EBA) has published a consultation paper on its draft guidelines for managing third-party risk with regards to non-ICT related services. The guidelines will revise and update its prior 2019...more

American Conference Institute (ACI)

[Event] 3rd Annual Women in AML & Sanctions Forum - September 16th - 17th, Washington, DC

Your clients are navigating unprecedented sanctions risk. Position yourself at the center of the conversation at ACI’s 3rd Annual Women in AML & Sanctions. This high-impact event brings together leading women across...more

Ankura

The Regulatory Roadmap for Third-Party Compliance in Financial Services

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In the rapidly evolving financial ecosystem, financial institutions (FIs) increasingly rely on third parties, including Fintech companies, Banking-as-a-Service (BaaS) providers, and other financial service entities—to expand...more

Woodruff Sawyer

Managing Your Supply Chain Cyber Risk

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Most organizations rely on complex supply chains, and that reliance has become a point of vulnerability for cyberattacks. This spring, we have witnessed a large-scale cyberattack on a major British multinational retailer due...more

Thomas Fox - Compliance Evangelist

Episode 30 - Inaugural Episode with Ian Sherr: Compliance Week’s Insights and Reflections from June to July 2025

In this inaugural episode for a new season of ‘From the Editor’s Desk,’ co-host Tom Fox welcomes Ian Sherr, the new Editor-in-Chief of Compliance Week. Ian shares his background in journalism and talks about his mission to...more

Walkers

ESMA principles on third-party risk supervision

Walkers on

On 12 June 2025, ESMA published its principles on third-party risk supervision which are designed to assist supervisory authorities to identify, assess and supervise the third-party risks of EU entities operating across the...more

A&O Shearman

EC adopts Delegated Regulation to delay the application of Basel 3 market risk prudential requirements by an additional year

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The European Securities and Markets Authority (ESMA) has published a comprehensive set of principles, accompanied by a press release, aimed at strengthening the supervision of third-party risks across the EU financial sector....more

Fenwick & West LLP

NYTW 2025: Building Smarter Cyber Strategies with Government, Founders, and Investors

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At New York Tech Week 2025, cybersecurity took the spotlight. Fenwick partner Jon Lenzner sat down with Bryan Vorndran—former assistant director of the FBI’s Cyber Division—to unpack what early-stage companies, investors, and...more

NAVEX

[Webinar] Supplier Due Diligence – Aligning Supplier Intake with Global Regulatory Requirements - June 17th, 10:00 am - 10:45 am...

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Learn how to align supplier intake with global regulations and build audit-ready onboarding practices in this NAVEX webinar featuring Jan Stappers and Michael Volkov....more

Mitratech Holdings, Inc

Why Business Continuity Planning Must Be Central to TPRM

Today, organizations are more reliant than ever on external vendors, suppliers, and service providers. This interdependency amplifies both operational capabilities and vulnerabilities. Disruptions at a critical third party...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Internal Controls for Third Parties

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

Thomas Fox - Compliance Evangelist

Upping Your Game: Harnessing AI to Revolutionize Third-Party Risk Management

In February, the Trump Administration suspended investigations under and enforcement of the FCPA. Many compliance professionals have since wondered what this will mean for corporate compliance programs going forward. Hui Chen...more

Fenwick & West LLP

5 Things Fintech Startups Need to Know About AML Compliance

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Bank-fintech partnerships have transformed the financial services landscape, creating new opportunities and challenges for traditional banking institutions and innovative technology companies alike. ...more

Fenwick & West LLP

Bank-Fintech Partnerships Under Scrutiny: What Fintechs Need to Know About AML Expectations

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Bank-fintech partnerships have transformed the financial services landscape, creating new opportunities and challenges for traditional banking institutions and innovative technology companies alike. In a typical arrangement,...more

Alston & Bird

5 Things to Think About When Using AI

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What Happened? As the Trump Administration’s deregulatory, pro-innovation approach to emerging technology moves forward, the use of artificial intelligence has taken center stage, and it is clear that the Administration...more

NAVEX

A Call to Do Better at Vendor Security Risks

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Technology vendors everywhere want to serve big Wall Street banks, so when one of those banks talks about risks they see in their software supply chain, compliance and audit professionals should listen – which brings us to an...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Terminating Third Parties

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

American Conference Institute (ACI)

[Event] Global Anti-Corruption, Ethics & Compliance - June 10th - 11th, New York, NY

ACI's Global Anti-Corruption, Ethics & Compliance – New York is your best opportunity to hear how companies are addressing the status of DOJ and SEC priorities, effective compliance and risk strategies, strengthening...more

Thomas Fox - Compliance Evangelist

FCPA Compliance Report: Upping Your Game in Compliance

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. This is a very special episode. This podcast comes from a webinar hosted by KonaAI on Tom Fox’s latest book, Ûpping Your Game. On...more

The Volkov Law Group

Episode 368 — LRN Issues New Report Highlighting Growing Gap in Compliance Program Performance

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Are you running a compliance program that’s making a real impact—or just checking the boxes? In this episode, Michael Volkov dives into LRN’s 2025 Program Effectiveness Report, an annual benchmark that separates the truly...more

Woodruff Sawyer

Fiduciary Duty in the Digital Age: Cybersecurity Best Practices for ERISA Plans

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Cybercriminals look for two things when seeking a victim—access and opportunity. ERISA retirement plans offer both. Cybercriminals exploit weaknesses in systems, software, or human behavior to find opportunities for easy...more

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