Compliance

The Compliance Dashboard: Seeing Risk Before It Strikes

John Carrington November 26, 2025 0

Telephone & Data Systems spent years managing SOX compliance through Excel spreadsheets. The internal audit team described their monthly reporting...

MiFID II compliance overview with transaction reporting, record-keeping, and automated regulatory technology for financial firms.

MiFID II Overview: Key Rules and the Digital Tools Driving Compliance

John Carrington November 18, 2025 0

Between December 2018 and December 2023, Sigma Broking Limited submitted 924,584 incorrect MiFID II transaction reports to UK regulators. Nearly...

EU flag with the word PRIIPs in the center representing European fund manager compliance and KID reporting under PRIIPs regulation.

PRIIPs Compliance: What Fund Managers Must Deliver

John Carrington November 16, 2025 0

FE fundinfo recently discovered that spot checks suggest as many as 90% of EU PRIIPs absolute cost figures are calculated...

Illustration of tech-driven compliance showing AI tools and employee engagement

Tech-Driven Compliance: Balancing Innovation with Change Readiness

Sophie Longford November 7, 2025 0

Organizations are discovering a harsh truth about tech-driven compliance: buying the software is easy, getting people to use it properly...

Illustration showing five leading GRC platforms with icons and charts

Top 5 GRC Platforms Powering Smarter, Faster Risk Decisions

Sophie Longford November 5, 2025 0

Organizations today face a relentless combination of regulatory complexity, cyber threats, and operational disruption. Static compliance programs and siloed tools...

Diagram showing NIS2 EU cybersecurity framework, including risk management, incident reporting, and executive accountability.

NIS2 Overview: How the EU Is Reshaping Digital Security

John Carrington October 27, 2025 0

In an era where cyberattacks have become increasingly sophisticated and costly, the European Union has taken decisive action to fortify...

iagram showing DORA compliance requirements for EU financial institutions including ICT risk management and resilience testing

DORA: A Complete Overview of Europe’s Digital Operational Resilience Act

John Carrington October 2, 2025 0

The Digital Operational Resilience Act (DORA) became fully applicable on 17 January 2025, introducing mandatory ICT risk management requirements for...