Tag: SEC

New rules proposed by the Securities Exchange Commission could change the way the advisors and funds communicate cyber risk to ...

A focus on ESG can seem tempting and, increasingly, mandatory for boards of directors. Those companies that make statements and ...

Companies that enter the public market have one thing in common: They must comply with the Sarbanes-Oxley Act of 2002 ...

Consider the Herbalife FCPA enforcement action a case study in why multiple redundancies are important. Unless the whole of the ...

Those bemoaning the lack of Foreign Corrupt Practices Act (FCPA) enforcement activity can cease. With the Dun & Bradstreet Inc. (D&B) ...

Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the ...

Swiss pharmaceutical giant Novartis has recently been on the receiving end of two significant enforcement actions: the first for violations ...

FCPA enforcements fell in 2021 to their lowest in a decade, but many signs point to a rebound in FCPA ...

Increased regulation of cryptocurrencies by the Securities and Exchange Commission (SEC) appears imminent. But details, scope and timing are up ...

2022 will probably be a lot like 2021, only more so. With most key federal positions filled, the Biden Administration ...

In September 2021, El Salvador became the first country to adopt bitcoin as legal tender. It will likely not be ...

The Securities and Exchange Commission (SEC) has already sent businesses more climate-related communications this year than it did over the ...