Tag: SEC

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 ...

Investment advisers face heightened scrutiny of their allocation practices as regulators deploy advanced analytics to detect favoritism

How end-to-end encryption and lack of native archiving tools complicate regulatory compliance

Executive order seeks to further expand presidential control over regulatory bodies

Section 404 of the Sarbanes-Oxley Act continues to be in the news and be a challenge for some companies. We ...

Recent regulatory changes and heightened scrutiny from external auditors add new layers of complexity to an already challenging compliance landscape