Tag: SEC

It’s official. Last week, the SEC issued rules requiring public companies to report what the agency calls “material” cybersecurity incidents ...

New cybersecurity requirements are coming for financial advisers and others in the financial services sector. While enforcement isn’t here yet, ...

Emojis are a common and valid form of modern expression, but like any other form of speech, companies need strict ...

Unpacking SEC's enforcement action against Philips for FCPA allegations in China Credit Where Credit's Due? Philips FCPA Enforcement Action What’s ...

Reg BI says brokers should act in the best interest of their retail customers, but are they? Sarah Hutchins and ...

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 ...