Prove it: From completion to compliance
For financial organizations
Discover how to reduce risk, maintain regulatory compliance, and create clear audit trails with powerful assessment solutions built for financial organizations.
How assessments can take you from
training to proof
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The states are stepping in under their own authority in the face of changes in federal regulatory posture. Wolters Kluwer, for example, reports that while federal agencies have signaled regulatory reprieve for financial institutions, states are advancing their own agendas to fill perceived gaps. In its words this patchwork of rules creates complexity for banks operating across multiple jurisdictions.
Banks
Federal agencies are easing requirements for institutions outside the largest systemic-risk categories, while states advance their own agendas, creating a patchwork for banks operating across states.
Insurance
Insurers are used to state-level regulation (46 of the Index’s 64 consumer-protection actions). The NAIC’s president points to a more active federal role emerging, for example in AI, privacy and climate risk.
What does all this mean for how to handle compliance training? Well, in many ways the writing has been on the wall for a while. If we look at a few enforcement actions since 2024, regulators have cited various training failures, and we can put them into a few general buckets:
