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Category: News

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SEC Touts Gains in Enforcement Actions in 2023

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As we prepare to flip the calendar to 2024, the tidal wave of announcements from federal agencies celebrating their yearly accomplishments has already started. The annual inundation of statistics often feels like a competition to see which...

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Risk Disclosures Reflect Concerns About Geopolitical Instability

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Rounding the corner to 2024, corporate leaders and analysts are warning that geopolitical instability  – driven primarily by ongoing conflicts, political uncertainties, and upcoming elections – will remain a significant economic concern. In...

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SEC Uses ‘Swiss Army’ Statute in $25 Million Fine for Violations on Stock Buybacks

Swiss Army knife as multi-use tool

Companies that alter their trading plans outside guidelines authorized by their boards should beware of the risk of heightened regulatory scrutiny from the Securities and Exchange Commission. The agency on November 14 announced that Charter...

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Are Companies Properly Preparing for AI Risks?

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Ready or not, as a former member of the hip hop group Fugees learned recently, artificial intelligence is leaving its mark through unexpected applications. Prakazrel “Pras” Michel, one of the trio of rappers known as The Fugees, and for hit...

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Cyber Risk Disclosures in Crosshairs as SEC Charges SolarWinds with Fraud

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CISOs are on alert as SEC steps up enforcement on cyber breach disclosures The Securities and Exchange Commission has left some cybersecurity professionals and chief information security officers “spooked” following news that the agency in...

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