Corporate Compliance Insights

Introducing *Compliance Conversations* with Anna Romberg and Julia Haglind! 💬 For the first installment of their column with Corporate Compliance Insights, our #compliance conversationalists have one big question to ask: Are you treating policy management like the handicraft it is? https://hubs.ly/Q02PltRx0 #CorporateCompliance

The Australian Securities and Investments Commission has released new guidance detailing its expectations around business communications. Modeled on American approaches, this guidance signals the regulator’s intention to raise Australia’s #compliance standards. MirrorWeb's Harriet Christie breaks down the details and what it means for Aussie #FinServ. https://hubs.ly/Q02Plm3_0

Headlined by JP Morgan Chase’s $450 million data failure settlements, market manipulation bad actors have dominated the financial news cycle. As such, agencies in the U.S. are taking increasingly aggressive positions as they try to control market manipulation and abuse. Shayne Ganeson, CFA of TradingHub takes a closer look at the year (so far) in market abuse regulation and enforcement. https://hubs.ly/Q02Plx-Q0 #FinServ #Compliance

The SEC’s cybersecurity disclosure rules recently turned one year old, but many organizations still have questions about compliance. Bill McLaughlin, president of Thrive, a managed services provider, explores some of the lingering issues related to #cybersecurity challenges and #compliance realities. https://hubs.ly/Q02Ply0K0

This week, Corporate Compliance Insights is taking a look at #FinServ around the world. From regulating the "buy now, pay later" industry to combatting market manipulation and guidance surrounding business communications in Australia, we've got you covered. Read and Subscribe: https://hubs.ly/Q02PlC750 #compliance

In May, the Consumer Financial Protection Bureau introduced a new “interpretive rule” that subjects certain "buy now, pay later" lenders to the same rules as credit card companies, allowing consumers to dispute charges and receive refunds. Leo Patching, CEO of Kompliant, a banking and payments compliance provider, discusses the new rule and the long-term effects it will have on short-term lenders. https://hubs.ly/Q02PlkDq0 #FinServ #Compliance

The U.S. still lacks a comprehensive federal #DataPrivacy law, and Minnesota is just the latest state to have stepped in to fill that gap. Amanda Novak of law firm Constangy takes a closer look at the state's new law, which will go into effect next summer. https://hubs.ly/Q02NppJX0

An effective compliance program doesn’t – and shouldn’t – need micromanagement. Like parenting, a #compliance officer’s job often involves establishing processes and systems to ensure the program is self-sustaining, and then setting it free. However, as Corporate Compliance Insights' well-being editor Lisa Beth Lentini Walker discusses, letting go is easier said than done. https://hubs.ly/Q02NplTv0

The SEC’s landmark climate regulations were quickly challenged in court and the agency voluntarily stayed enforcement while the judicial process goes on. The inclusion of a “materiality” qualifier in the agency’s rule may sound good on paper, observes Tim Siegenbeek van Heukelom of ESG and sustainability tech company Socialsuite, but it could be much more challenging to execute in reality. https://hubs.ly/Q02NpyYX0 #CorporateCompliance

Looking back on business failures often reveals the blind spots that led to lack of understanding, strategic error and missed opportunities. ⬇️ Even the most skilled leader can’t manage a risk that’s not on their radar, so how do you get ahead of potential issues? Protiviti's Jim DeLoach uncovers the major sources of corporate blind spots for clarity in the future. https://hubs.ly/Q02NbHNH0 #Compliance