Tag: SEC

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

Biden-era AI guidelines may be gone, but the SEC and FTC have made it clear they're watching (for now) how ...

New SEC chair, changing proxy adviser rules likely mean shifts for corporate pay practices

Carter signed FCPA into law & nominated 2 women to SEC

Seismic shifts are threatening to reshape the modern compliance landscape, from Supreme Court decisions tossing out decades of regulatory advantages ...

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 ...