When It Comes to Climate Disclosures, SEC and FTC Speak Different Languages
Expanded climate reporting will likely tempt marketing teams to try to capitalize on favorable climate performance as disclosed in reporting. ...
Tag: SEC
Q&A: The SEC Would Love to Regulate Cryptocurrencies, But So Far, Their Efforts Are Hobbled. What’s the Current and Future State for Investment Managers?
President Joe Biden signed an executive order March 9 intended to instill consumer protection and financial stability, prevent illicit uses ...
SEC is Poised to Clear the Air on ESG Reporting. That Means Your Company Has Less Than Six Months to Prepare.
Standardized rule-making on climate disclosures has lagged in the U.S. But no more. Observers like Karen Alonardo of NAVEX Global ...
Will Proposed SEC Cybersecurity Disclosure Rules Enhance Defenses or Hamper Responses? There’s Still Time to Assess and Comment.
Proposed rules relating to incident reporting aim to improve cybersecurity in public companies, but FTI Consulting’s Jordan Rae Kelly suggests ...
SEC Proposes New Cybersecurity Risk Management Rules for Investment Advisers and Funds
New rules proposed by the Securities Exchange Commission could change the way the advisors and funds communicate cyber risk to ...
More Focus on ESG Means More Scrutiny, Litigation and Enforcement, Too
A focus on ESG can seem tempting and, increasingly, mandatory for boards of directors. Those companies that make statements and ...
A Practical Approach to SOX Readiness
Companies that enter the public market have one thing in common: They must comply with the Sarbanes-Oxley Act of 2002 ...
The Herbalife FCPA Enforcement Action
Consider the Herbalife FCPA enforcement action a case study in why multiple redundancies are important. Unless the whole of the ...
2020 Survey Report: State of Digital Communications Compliance
Given the rapidly expanding use of collaboration platforms, like Cisco Webex, RingCentral, Slack, Zoom and Microsoft Teams, as well as ...
Crash Landing: Lessons From the Panasonic FCPA Enforcement
Those bemoaning the lack of Foreign Corrupt Practices Act (FCPA) enforcement activity can cease. With the Dun & Bradstreet Inc. (D&B) ...
Regulatory Roundup: 10 Recent FINRA and SEC Violations and Penalties
Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the ...
Novartis: Corruption Across the Globe
Swiss pharmaceutical giant Novartis has recently been on the receiving end of two significant enforcement actions: the first for violations ...
