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BaFin publishes DORA document requirements cheat sheet
Comprehensive register of key documents is relevant to all organizations running digital systems and needing to ensure their security.
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BaFIN to intensify third-party supervision in 2025
The regulator continues to be concerned about outsourcing dependency and concentration risk and wants to obtain clarity on technology interconnectedness in the financial sector.
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US banking agencies outline crypto-asset safekeeping considerations
The joint statement highlights potential risk-management considerations, but it does not create any new supervisory expectations.
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SIFMA conference highlights efficient, dynamic US equity markets
Rapid structural change is, however, leading to some industry challenges, which are accentuated by changes in investors’ needs
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FINRA monitoring evolving third-party vendor landscape
Information on third-party vendors is used by FINRA in proactive outreach to member firms including alerts and guidance.
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Glencore’s compliance report offers insight into post-monitor enhancements
Global commodities trading firm produces ethics and compliance progress report focusing on monitoring, risk assessments and training.
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Podcast: Denis Jacob charts a path through regulatory uncertainty for healthcare
As leader of the ethics and compliance program at Henry Schein, Jacobs collaborates with stakeholders to ensure compliance, while prioritizing growth.
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Privacy experts give advice on complying with DORA and NIS2
Adequate preparation, identifying what and who is critical, and, above all, “practice, practice, practice” highlighted.