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Category: News

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A Rulemaking Process for the Rest of Us

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Festivus came early this year for Mark Uyeda. In public appearances earlier this month, the Republican-appointed commissioner of the Securities and Exchange Commission aired his grievances with the agency’s rulemaking process. (Observers of...

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Adviser Compliance, Crypto, Money Laundering Among SEC Exam Priorities

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Cybersecurity. Cryptocurrency. Money laundering. In a recently released report on its examination priorities for 2024, the Securities and Exchange Commission Division of Examination – better known as EXAMS – highlighted several areas it int...

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CCO Liability Becomes Hot Topic in Compliance Circles

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Speaking at a New York City Bar Association event last month, the director of the Securities and Exchange Commission Division of Enforcement opened his remarks with a warning about the eroding levels of public trust in institutions across t...

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AI Safety at Corporations a Concern for Biden, Shareholders

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Seeking to harness the benefits of rapidly advancing artificial intelligence while also attempting to manage its growing risks, President Biden this week issued an executive order to establish new standards for AI safety, security, and priv...

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Gensler Warns Big Business About Pitfalls of Spiking Climate Disclosure Rules

French bulldog in red Halloween headband

Securities and Exchange Commission Chair Gary Gensler has apparently decided to go as the Devil You Know for Halloween this year. Gensler donned his costume – in a metaphorical sense, of course – last week when speaking about the SEC’s prop...

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