Tag: SEC

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

For now, the U.S. Supreme Court’s decision in SEC v. Jarkesy applies only to SEC statutory fraud claims. But the ...

Accountant shortage pushing companies to adopt new technology; cloud-native app security market set to surge

High court overturns Chevron deference, strikes down SEC’s use of in-house fraud courts