Compliance Tip of the Day: Leveraging AI for Real-Time Third-Party Risk Management
Episode 365 -- Four Sanctions Cases Everyone Should Know
The Privacy Insider Podcast Episode 12: Compliance Is Good Business: Getting Beyond Fines with Tom Fox of Compliance Podcast Network
Bar Exam Toolbox Podcast Episode 296: Listen and Learn -- Third-Party Rights in Contracts (Part 1 - Rules)
Corporate Use of Third-Party Artificial Intelligence (AI) Tools
One Month to More Effective Written Standards: Day 17 – Policies for Third-Parties
Third Party Observation in Patent Prosecution in China
Consumer Finance Monitor Podcast Episode: Recent Federal and State Debt Collection Developments
Thobekile Cynthia Khumalo on Third Party Due Diligence
Protecting Trade Secrets When Facing Lawsuits or Alternative Dispute Resolution Procedures
Education Data Privacy and Security Laws: Best Practices for School Districts
Episode 162 -- Jessica Sanderson on How to Conduct a Remote Third Party Audit
VIDEO: Update on Third Party Workers’ Compensation Settlements in Pennsylvania
Episode 120: Interview of NAVEX Global Third-Party Risk Officials: Chris Bailey and Stephen Gooding
Subro Sense Podcast - Unpacking Product Claims Against Amazon
Business Succession Planning: Strategies for the Transition
E17: Carpenter Decision Builds Up Privacy from #SCOTUS
Day 17 of One Month to More Effective Continuous Improvement-Financial Health Monitoring
Day 6 of One Month to More Effective Continuous Improvement-Data Analytics and the Monitoring of Third Parties
FCPA COMPLIANCE REPORT-EPISODE 337, JAMES GELLERT ON ASSESSING 3RD PARTY FINANCIAL HEALTH FOR COMPLIANCE
Introduction to DORA and its Implications - As of Jan.17, 2025, the European Union’s Digital Operational Resilience Act (DORA) became enforceable. This new regulatory framework significantly impacts financial institutions and...more
On January 28, 2025, FINRA published its annual regulatory oversight report for 2025 (Report), which highlights observations and findings from FINRA’s oversight programs. The Report covers 24 topics, and for each topic it...more
Those familiar with the industry know that cannabis retailers find themselves in a unique position compared to other product retailers. Cannabis retailers face significant regulatory hurdles to their operation—particularly in...more
Ensure your vendors are crisis-ready by recognizing these key indicators of weak continuity planning. The interconnected nature of modern business means that your vendors’ operational resilience can, and frequently does,...more
Considering the rapid development and deployment of artificial intelligence (AI) in a wide array of applications and business sectors, it can be a daunting task for a company’s General Counsel (GC) to keep pace in identifying...more
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. We dedicate...more
If you are a GrubHub customer, read carefully. The app has confirmed a security incident involving a third-party vendor that allowed an unauthorized threat actor to access user contact information, including some customer...more
In the ever-evolving world of cybersecurity, even organizations that meet stringent security standards can be victims of sophisticated cyberattacks. A notable example of this is the December 8, 2024 cybersecurity incident...more
In light of recent cyberattacks targeting the federal government and United States supply chains, President Biden’s administration has released an Executive Order (the “Order”) in an attempt to modernize and enhance the...more
The Hong Kong Securities and Futures Commission (SFC) has issued a circular that sets forth comprehensive guidelines and expectations for licensed corporations (LCs) regarding the responsible use of generative artificial...more
Cyber threats continue to grow as a result of increased digitization, widespread use of cloud computing, advanced connectivity and artificial intelligence (AI), requiring boards of directors across all sectors to focus more...more
Oversight of data-related risks: From data governance to GenAI and cybersecurity While data governance has been a priority for companies for some time, the explosive growth in the use of generative artificial intelligence...more
The Digital Operational Resilience Act (DORA) is an EU regulatory framework, aimed at enhancing the financial sector’s ability to withstand and recover from ICT (information and communication technology) disruptions....more
The ever-increasing privacy and security risks via third-party vendors and service providers were apparent in 2023 with news of large organizations such as MOVEit, Okta and AT&T being affected. Research has shown that 98...more
As we previously discussed, earlier this year the National Institute of Standards and Technology (NIST) launched the Trustworthy and Responsible AI Resource Center. Included in the AI Resource Center is NIST’s AI Risk...more
On March 3, 2023, the Department of Justice (“DOJ”) issued long-awaited guidelines on how it will evaluate whether companies have implemented appropriate guidance and controls on the use of personal devices and third-party...more
Who Needs to Know FINRA member firms. - Why It Matters On August 13, the Financial Industry Regulatory Authority released a regulatory notice to member firms, clarifying their existing obligations on the supervision of...more
The SolarWinds hack highlights the critical need for organizations of all sizes to include cyber supply chain risk management as part of their information security program. It is also a reminder that privacy and security...more
This blog is the third in a series exploring how organizations can prevent or mitigate the severity of a third-party data breach or cyber exploit by implementing a variety of cybersecurity risk management controls, such as...more
This blog is the second in a series exploring how organizations can prevent or mitigate the severity of a third-party data breach or cyber exploit by implementing a variety of cybersecurity risk management controls, such as...more
Continuous improvement can take many ways, shapes and forms. Typically, when it comes to third-party risks, a Chief Compliance Officer (CCO) or compliance professional will consider the ownership structure to see if there is...more
Addressing regulatory concerns pertaining to consumer protection, market stability, and law enforcement, the Framework expands on the CSBS draft framework released in December 2014. The Conference of State Bank...more
On September 15, 2015, OCIE issued a risk alert relating to its new cybersecurity examination initiative. This is the second round of these examinations, and the alert provides a detailed look at OCIE’s current areas of...more
Companies are reminded of the need for strong internal controls. The US Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) recently filed civil and criminal actions in the largest hacking and...more