How a people-first plan ensures effective data governance in the age of AI
Life sciences companies are keen to utilize cutting-edge AI tools and software, but data governance programs need to be in top form first.
Danish FSA finds data completeness failings at three major banks
A thematic study by the Danish financial regulator has identified data completeness and recordkeeping failures relating to voice and electronic communications at Danske Bank, Jyske Bank, and Nykredit Bank.
Four key challenges for compliant mobile communications in healthcare and life sciences
Compliance teams in healthcare and life sciences must balance both regulatory restrictions and the needs of employees to achieve compliant mobile communications with corporate devices.
Understanding Compliance Risk Management: Definitions, Importance, and Strategies
Looking back on the first half of this decade, it’s clear that regulators have been under pressure to constantly introduce and update the rules to meet modern demands, leading to a very dynamic market.
Regulatory Wrap episode 55: Catching the culture bug
In Regulatory Wrap for the week to March 14, Rob Mason reviews an FCA speech on culture's ability to spread within an organization.
Regulatory Wrap episode 54: What’s going on with the FCA?
In Regulatory Wrap for the week to March 7, Rob Mason discusses why the FCA has been the subject of scrutiny since the beginning of 2025.
Regulatory Wrap episode 53: The CFTC’s new self-reporting matrix
In Regulatory Wrap for the week to February 28, Kathryn Fallah breaks down the CFTC’s new self-reporting matrix, which includes potential penalty reductions of up to 55%.
How can communications surveillance help pharma firms avoid fines?
Pharmaceutical companies urgently need robust communication surveillance to avoid data risks and reputational damage.
Regulatory wrap episode 52: CIRO’s 2025 compliance priorities
In Regulatory Wrap for the week to February 7, Kathryn Fallah discusses the newly-established Canadian Investment Regulatory Organization (CIRO) and its 2025 Annual Compliance Report.
Regulatory wrap episode 51: FINRA’s 2025 regulatory report: what firms need to know
In Regulatory Wrap for the week to January 31, we extract the need-to-know details from FINRA’s Annual Regulatory Oversight Report for 2025.
What is Regulatory Compliance?
Regulatory compliance is the process of following set procedures in order to meet standards set by boards of oversight. Most often, these regulatory policies are set to reduce the risk of negative events occurring, such as physical accidents or unauthorized access to information or money.