Tag: SEC

The threshold for securities disclosure is very different from the “statistically significant” standard used by most scientists and researchers

The National Association of Corporate Directors published an authoritative guide in 2009 on risk governance, and the principles outlined therein ...

The SEC’s new and proposed rules allow companies to update and simplify their disclosure requirements as part of the SEC’s ...

Many public companies are in the process of preparing their annual 10-K reports for the SEC, and for these firms, ...

Many companies these days are implementing automated due diligence systems, and it’s no wonder why: the government’s expectations in terms ...

Rogue traders may be uncommon, but the risks they pose are serious. Jim DeLoach writes on the importance of tone ...

I was reading a book the other day and came across this question: Which matters more: intention or action? It ...

The SEC’s bribery case against a pair of former Cognizant Technology executives was six years in the making, with pandemic-related ...

The SEC upheld record fines in April, proving mobile compliance is not a political issue but a permanent regulatory priority

With compliance processes driven largely by regulatory requirements, the financial services sector could be forgiven for breathing a sigh of ...

Former Bush-era commissioner returns with mission to streamline regulations and enhance capital markets

CCI staff share recent surveys, reports and analysis on risk, compliance, governance, infosec and leadership issues. Share details of your ...