Tag: SEC

New SEC chair, changing proxy adviser rules likely mean shifts for corporate pay practices

Carter signed FCPA into law & nominated 2 women to SEC

Seismic shifts are threatening to reshape the modern compliance landscape, from Supreme Court decisions tossing out decades of regulatory advantages ...

Audits and investigations are inevitable in some industries, but comprehensive compliance can keep your company off the naughty list

As artificial intelligence reshapes the business landscape, the SEC is gearing up for a new era of oversight. With a ...

In recent years, the SEC has planted a lot of carrots, telling companies over and over again that cooperation with ...

Gartner warns GCs to closely monitor election risk; scramble commences over EU names rule

The SEC’s cybersecurity disclosure rules recently turned one year old, but many organizations still have questions about compliance. Bill McLaughlin, ...

FinServ community advised to redouble control efforts

Australian financial regulator issues new guidance on communications monitoring & archiving

How many companies will really be off the hook under ‘materiality’ qualifier?

3 self-reporting firms receive lower fines