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Tag: COMPLIANCE

Shoes hanging from a wire

SEC Getting Serious About Related Party Transaction Disclosures

Shoes hanging from a wire

When Martha Stewart teamed up with Skechers to launch her own line of branded footwear last year, the partnership seemed to fit like your favorite pair of slip-on sneakers. “Martha’s style is all about blending form and function,” noted an...

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Sundial marking the passage of time

Inadequate Internal Controls Contribute to Surge of Delayed Annual Reports

Sundial marking the passage of time

A slew of companies both large and small have announced in recent weeks that they would miss the deadline this year for filing their annual reports. Although companies delaying the release of their Form 10-K isn’t unusual, the number doing...

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AI-generated Red Riding Hood and wolf

No Fear of AI Here: Survey Reveals Little Worry Among Compliance Pros Over Use of AI

AI-generated Red Riding Hood and wolf

As big business has embraced the promise of artificial intelligence, questions and concerns among professionals, consumers and investors about the potential negative effects of AI have tempered the allure of innovation and improved bottom l...

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Adviser Compliance, Crypto, Money Laundering Among SEC Exam Priorities

Girl with binoculars monitors distant view

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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Red hot charcoal burning

CCO Liability Becomes Hot Topic in Compliance Circles

Red hot charcoal burning

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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