University of Virginia (UVA) reaches compliance settlement with DOJ

🔔 Top Stories

ThetaRay and Kaufman Rossin announce AI-AML model validation at Money20/20 USA

The firm ThetaRay has completed an independent validation of its AI models for AML transaction monitoring and OFAC sanctions screening, as carried out by Kaufman Rossin. The validation was finalised in August 2025 and is now featured at Money20/20 USA. Read more.

US reviews China’s compliance with 2020 trade pact under Section 301 investigation

The Office of the United States Trade Representative (USTR) has opened a Section 301 investigation into whether China met its commitments under the “Phase One” trade agreement signed in January 2020. The investigation will assess whether U.S. rights under the deal were denied or inconsistent action by China has occurred. Read more.

University of Virginia (UVA) reaches compliance settlement with U.S. Department of Justice

The University of Virginia has reached an agreement with the U.S. Department of Justice in relation to federal investigations of its compliance with civil rights laws and allegations of antisemitism. The settlement involves quarterly compliance reporting until December 31, 2028. Read more.

🧠 Expert Take

There is the law, there are the facts, and then there’s the application of judgement to what those facts mean in the legal construct. Same exact thing in compliance. There are the regs. There is the activity, you know, going on, there’s maybe not a bright line answer, and that’s when, you know, having help from older folks or people more experienced than you is really what you’re looking for, or at least as experienced as you.  Richard Szuch, attorney and former regulator.

🧰 Compliance Toolkit

Supply-Chain Risk Management

Every organisation depends on a network of suppliers, logistics partners and service providers — each carrying its own risks. A single weak vendor can expose the entire chain to cyber incidents, regulatory violations or production haltsEvery organisation depends on a network of suppliers, logistics partners and service providers — each carrying its own risks. A single weak vendor can expose the entire chain to cyber incidents, regulatory violations or production halts. 

• Major risk areas include cybersecurity threats, supplier insolvency, environmental events, geopolitical disruptions and weak vendor oversight. 

• Effective tools now offer real-time mapping, vendor-risk scoring, ESG tracking and automated alerts for contract breaches or regulatory non-compliance.

• A structured approach should include supplier segmentation, due-diligence audits, and continuous monitoring supported by digital platforms

Tip: review your organisation’s supplier network to identify critical dependencies, confirm incident-reporting obligations, and update contractual clauses to include transparency and risk-reporting standards.

🎟️ Upcoming Event

Investment Adviser Compliance Conference

📍 Washington, D.C.| March 18-20 2026

Hosted by the Investment Adviser Association, this in-person conference brings together compliance professionals from investment-advisory and asset-management firms. The agenda covers recent regulatory developments, best practices in compliance programmes and interactive sessions with regulators and industry experts. 

🗳️ Your Compliance Take

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