Congressional hearing puts SEC nominees in the spotlight
This week, the Senate Banking Committee held its first nomination hearing for Hester Peirce and Robert Jackson, President Trump’s nominees for to serve as SEC commissioners.
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ArticleSEC nominees make their pitch for long-empty seats
Questions about cyber-security, insider trading, materiality, and individual accountability greeted SEC nominees appearing before the Senate Banking Committee.
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News BriefCommunication and relationships is increasingly critical for compliance teams
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.
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PremiumUnder intense reg scrutiny, compliance teams report implementing off-channel comms policies
Three of four respondents to Compliance Week’s Inside the Mind of the CCO survey said their employers have policies and procedures in place that govern employee use of unauthorized communications on their cell phones. The survey, conducted in November and December, found that another 11 percent of the 179 practitioners ...