The SEC Is at the Front Desk. Cooperate or Resist?
In recent years, the SEC has planted a lot of carrots, telling companies over and over again that cooperation with ...
Tag: SEC
News Roundup: SEC Actions Heat Up at End of Summer
Gartner warns GCs to closely monitor election risk; scramble commences over EU names rule
Navigating the SEC’s 8-K Reporting Mandate: Cybersecurity Challenges & Compliance Realities
The SEC’s cybersecurity disclosure rules recently turned one year old, but many organizations still have questions about compliance. Bill McLaughlin, ...
2024: The Year (So Far) in Market Manipulation
FinServ community advised to redouble control efforts
B-ASIC Instructions on Aussie Business Communications
Australian financial regulator issues new guidance on communications monitoring & archiving
Climate Materiality: Great in Principle, Harder to Apply in Practice
How many companies will really be off the hook under ‘materiality’ qualifier?
SEC Continues Recordkeeping Crackdown, Fines 26 Firms Combined $390M+
3 self-reporting firms receive lower fines
Does Supreme Court’s Jarkesy Ruling Signal the Beginning of the End for Agency Administrative Tribunals?
For now, the U.S. Supreme Court’s decision in SEC v. Jarkesy applies only to SEC statutory fraud claims. But the ...
News Roundup: Investment Advisers Cite Off-Channel Comms as Top Concern
Accountant shortage pushing companies to adopt new technology; cloud-native app security market set to surge
Supreme Court Scales Back Federal Agency Powers
High court overturns Chevron deference, strikes down SEC’s use of in-house fraud courts
International Comms Surveillance Compliance Efforts Ramping Up
FINRA, SEC stepping up enforcement
The SEC Names Rule Will End ESG Investing as We Know It — That’s a Good Thing
Talk of ESG investing has few friends across the political spectrum
