By Eldon Sprickerhoff2017-07-18T11:45:00
The SEC is testing investment firms for cyber-security readiness. Preparing for it is a marathon, not a sprint.
2019-02-28T10:45:00Z By Joe Mont
With an eye toward improving data management and cyber-security oversight, the SEC has approved changes to the submission deadlines for registered investment companies filing non-public monthly reports.
2017-10-03T10:00:00Z By Joe Mont
Highly publicized breaches at the SEC and Equifax reveal how compliance efforts and reputation protection is often undermined by a lack of common sense.
2025-10-10T20:28:00Z By Tom Fox
Compliance professionals have long known that systems fail when governance does. An MIT study’s finding that 95 percent of enterprise artificial intelligence (AI) pilots fail underscores how essential compliance-grade discipline is to the success of emerging technologies.
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