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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.
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FCA concerned about conflicts of interest at firms managing private assets
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.
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PMCPA resolves Moderna case regarding tweets, articles about clinical trials
Actions by Moderna and associated third parties caused concern and ‘reflected poorly on the industry’.
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Third-party risk a key addition to FINRA’s 2025 Regulatory Oversight Report
Annual report includes new section on third-party supplier risk landscape, including emerging regulatory concern about AI use within firms and by third-parties.
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DORA: Navigating the path ahead
With DORA now in effect, the EU’s financial sector is entering a new phase of operational resilience obligations, where firms must shift from preparation to action.
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Facing up to the challenge as the age of DORA dawns
The absence of a transitional period presents a challenge for firms and third parties.
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USAA dinged for failing to fix AML, IT, third-party oversight shortcomings
According to the OCC, this order includes parts of prior orders issued in 2019 and 2022 with which USAA was not yet in compliance.