Regulation and compliance

Compliance and regulatory risk is a constant concern for internal audit leaders and their organisations. But with so many impending rule changes and regulatory unknowns on the horizon, there is even more pressure to ensure that these risks are managed effectively.

Here, you can find out how to assess whether your organisation is on top of the latest regulations and what steps and precautions you can take to ensure that you are compliant.


Financial crime - bribery legislation and new ISO 37001
Areas of risk to consider when complying with regulatory rules and standards.

Financial services operational continuity
This short briefing is relevant to audit leaders in the financial services sector and those wishing to broaden their knowledge of the sector. 

Fraud and working with your MLRO
How internal audit and fraud can work together to provide assurance.

Gender pay reporting
An overview of internal audits’ role in complying with the reporting requirements.

GDPR - beyond 2018
Key information on ensuring your organisation remains compliant post 25 May 2018.

GDPR - here and now!
The immediate imperatives for internal audit to prepare for GDPR.

GDPR - the expansive role of internal audit
This guidance briefly summarises it and encourages audit leaders to think about a broad spectrum of compliance assurance for the internal audit plan.

Modern Slavery and the role of internal audit
A snapshot of regulatory requirements for internal audit.

Personal accountability: the Senior Managers and Certification Regime
Key questions internal audit needs to ask itself ahead of SM&CR implementation.

Regulatory complexity and uncertainty
Navigating your internal audit function through uncertain times.

Shareholder Rights Directive
The Shareholder Rights Directive II is a step change in governance. This regulatory update is for audit leaders across all sectors, not just financial services.

SMF5 your personal responsibilities
We explain the key aspects of the SMF5 role as part of the Senior Managers Regime.

Tax avoidance: a new era
Provide assurance that your organisation is compliant with the BEPS legislation and other tax avoidance laws.

Turning open banking into an advantage 
Issues that internal audit should consider when thinking about PSD2.

UN human rights reporting
This practical guidance paper examines the UN Guiding Principles on Business and Human Rights (UNGPs), how organisations are required to be accountable and transparent about their commitment to them and the reporting framework that enables this.