Even though the U.S. federal government is currently shut down, the U.S. Securities and Exchange Commission appears to still ...

This week, U.S. authorities took coordinated action against Cambodian multinational conglomerate Prince Holding Group and its ...

Europe's massive financial sector has become a magnet for illicit money flowing through its banks and markets. A new EU ...

Auditors are supposed to keep businesses honest, but how much regulation is the optimum for the auditors - and how onerous ...

About 36 percent of financial firms are using artificial intelligence in compliance, and most firms intend to ramp up their ...

Under the Trump administration, the Department of Health and Human Services and the Food and Drug Administration have been ...

U.S. Banking regulators have moved to loosen traditional regulation and supervision in areas like capital requirements, stress testing and liquidity, while also being more receptive to innovation in ...

Most compliance professionals have faced it: a regulator or client requests a policy, and several slightly different "final" ...

Companies may face significant financial and legal risks if they fail to vet suppliers and third parties over their use of ...

Compliance professionals have long known that systems fail when governance does. An MIT study's finding that 95 percent of ...

Financial Planning Corporation is a regulated financial planning firm founded 40 years ago, gaining coveted Chartered status in 2008. As the U.K. financial regulator, the FCA promises to clamp down on ...

Emerging technologies, like artificial intelligence (AI) and advanced data analytics, can improve audit quality in ...