News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Robert Herz2016-10-12T11:45:00
A host of private and regulatory groups are making big strides in improving disclosure effectiveness. Robert Herz has more.
THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.
News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2017-03-14T12:45:00Z By Joe Mont
Investors, especially those lacking financial literacy skills, may soon benefit from the SEC’s efforts to modernize its disclosure regime and filing requirements.
2024-11-01T15:40:00Z By Aaron Nicodemus
Two affiliates of JPMorgan Chase have agreed to pay $151 million to settle five separate enforcement actions for making misleading disclosures, breaching fiduciary duties, and other failures related to investors.
2024-10-29T19:47:00Z By Adrianne Appel
Artificial intelligence is an exciting, new technology and it is well-regulated by old laws and rules already on the books, financial regulators said at Compliance Week’s AI & Compliance Summit at Boston University.
Site powered by Webvision Cloud