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When sanctions against Russia began multiplying in 2022, the public images were hard to miss: Yachts seized in European ports, villas frozen, bank accounts linked to oligarchs blocked. What I remember from the compliance side looked less visible and much more procedural. It was passports, residence permits, source-of-wealth documents, ownership charts, explanations of old bank […] The post How…
A supply-chain disruption can look simple: A supplier cannot deliver, procurement finds an alternative, engineering qualifies it and production continues. Geopolitical disruption rarely arrives labeled as a compliance problem. It arrives as a sourcing decision, engineering fix or logistics reroute before compliance becomes involved. Recent developments include: Enforcement shows what can be at…
California's AI Transparency Act took effect Aug. 2, requiring generative AI developers to disclose AI-generated content. But a new investigation found several tech companies aren't following the requirements yet. The post California’s AI labeling law takes effect, testing compliance with missing detection tools appeared first on Compliance Week .
FinCEN and several other regulators levied a combined $125 million penalty against UBS Financial Services (UBSFS), a broker-dealer and futures commission merchant, due to a series of long-standing compliance failures. The total penalty was a joint effort of federal regulators, including FINRA ($20 million), the Securities and Exchange Commission ($20 million), and the Commodity Futures Trading […]…
Nearly every organization is using AI. Only a quarter can say they're actually overseeing it. That four-to-one gap between AI adoption and effective governance is where regulatory exposure lives — and it's the subject of this ebook from ECI Compliance Week, produced in partnership with Moody's. The post AI Governance for Compliance and Third-Party Risk Management appeared first on Compliance Week…
Boards expect risk data that's current, defensible, and forward-looking. Most risk programs still run on static registers and manual processes. The gap shows up in scattered assessments across the enterprise that can't be validated, in the inability to model scenarios before board presentations, and in audit trails that depend on institutional knowledge instead of transparent logic. The post From…
When organizations implement workplace surveillance tools, the conversation often begins with privacy. Questions about employee consent, data collection, retention periods, and legal compliance are essential. But as workplace monitoring technologies become more sophisticated, focusing exclusively on privacy risks often overlooks a much larger challenge. The post Beyond breaching privacy: The…
There is a cost attached to senior compliance roles that does not appear in job descriptions, is rarely discussed in appraisals, and is absent from careers talks given to people entering the profession. The post The hidden cost of compliance leadership appeared first on Compliance Week .
Join us on Tuesday, August 18, at 12:00 p.m. ET for our August Fellows meeting. This session will provide an opportunity to connect with fellow senior E&C leaders, exchange insights, and discuss timely topics affecting the profession. Additional agenda and access details will be shared closer to the meeting. Interested in Becoming a Fellow? The […] The post August Fellows Meeting appeared first on…
When external regulation lags, internal audit becomes the only line of defense. AI’s environmental footprint is a live governance exposure, and right now, almost no one is auditing it. A company can run an AI product billions of times a day with no obligation to measure what it consumes: No requirement to report the energy […] The post The inference gap: Auditing the AI risk no framework requires…
