Survey: Only 3% of Compliance Officers Confident About Effectiveness of Off-Channel Comms Ban
Despite widespread efforts to ban problematic communication apps like WhatsApp and WeChat, only 3% of compliance leaders strongly believe those ...
Despite widespread efforts to ban problematic communication apps like WhatsApp and WeChat, only 3% of compliance leaders strongly believe those ...
A newly issued SEC Division of Examinations risk alert indicates that newly registered advisers may be failing to uphold several ...
Social selling gives financial advisers an effective way to connect with potential clients and build a rapport with them as ...
The SEC is continuing its focus on cybersecurity regulations by announcing three new proposed rules and re-opening the comment period ...
SEC regulations on what companies must report regarding their environmental impact are expected this year. While large firms and those ...
A new sheriff is in town, at least when it comes to combatting corruption, according to an analysis by international ...
Given the rapidly expanding use of collaboration platforms, like Cisco Webex, RingCentral, Slack, Zoom and Microsoft Teams, as well as ...
The SEC has long relied on whistleblowers to enforce securities law, often making it worth their while to the tune ...
The SEC has finalized its long-awaited clawback policy mandated by the Dodd-Frank Act, issuing final rules that are scheduled to ...
The more things change, the more they stay the same. This time last year, we summarized the top 10 ESG ...
Breaking down the FCPA allegations against technology company Oracle Corp. Unpacking Oracle FCPA Enforcement Action Oracle: FCPA Recidivist What’s in ...
Most public companies will be required to disclose details about executive compensation starting with next year’s proxy statements, under rules ...
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