Tag: SEC

SEC Issues Statement on Cybersecurity High-profile data breaches seem to come fast and frequently these days. Last month, the Securities ...

Rethinking Independence in Internal Investigations Demonstrating and ensuring independence in internal investigations is a critical issue for corporate counsel to ...

How the CEO Can Best Support Compliance Keeping a tight rein on compliance is the name of the game for ...

Penalties for Noncompliance Remain Severe Attorney General Jeff Sessions has identified enforcing the Foreign Corrupt Practices Act as a high ...

The Department of Justice and Securities and Exchange Commission were especially aggressive this year in bringing FCPA enforcement actions. There ...

AML and Other Regulatory Concerns Virtual currency is gaining momentum by the day. There are many tax, compliance and regulatory ...

8 Helpful Tips Issuers Should Know The SEC’s new rule amendment requiring issuers who present exhibits in numerous regulatory forms ...

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

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

Some of the most ambitious and highest-performing professionals find immense satisfaction in overcoming challenges. Others are driven by chiefly by ...

Developing a risk appetite statement may not be your favorite task, but try to think of it as pulling together ...

We all have known great “leaders” in our lifetime – a politician who inspired us, a public figure who we ...