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Tag: COMPLIANCE

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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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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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Companies Identify Risk Factors of Artificial Intelligence

Artificial intelligence electronic eye assessing risk factors

Twenty years ago, companies were just beginning to grapple with the “internet of things.” The emerging technologies forced them to manage compliance, regulatory and legal risks introduced by new data-privacy and security concerns. Now, comp...

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Architectural blend with greenery, ESG uncertainties

Uncertainties Abound for Effective ESG Disclosures

Architectural blend with greenery, ESG uncertainties

We all know mandatory corporate disclosures are coming for performance on environmental, sustainability and governance metrics. The subject has become the dominant theme in corporate governance today in response to the push by activists, in...

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Four New SEC Examination Priorities to Spice Up 2023!

An outdoor produce market with hanging bunches of chilies

If you’re familiar with annual previews from government agencies, you know they’re about as exciting as an instruction manual. They generally follow a boilerplate format that includes familiar discussions of how their plans for the coming y...

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