By
Joe Mont2018-12-31T11:15:00
The SEC is once again digging into disclosure reforms, and the debate has shifted from what to file to how frequently companies need to file.
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2019-03-21T20:39:00Z By Joe Mont
The SEC has adopted amendments to Regulation S-K disclosure requirements and MD&A filings that are intended to improve the readability of company disclosures and to discourage repetition and immaterial information.
2025-12-30T07:00:00Z By Neil Hodge
Companies looking for greater certainty about how they might avoid criminal prosecution for bribery, fraud, and corruption offences may find they’re going to be disappointed if they’re looking for definitive answers in the latest guidance from the U.K.’s main fraud investigator, say experts.
2025-12-24T19:04:00Z By Tom Fox
FINRA’s rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in their businesses, just as they apply when companies use any other technology or tool. But what does that mean for a compliance professional using GenAI?
2025-12-31T12:00:00Z By Aaron Nicodemus and Oscar Gonzalez
This year’s compliance triumphs were all born out of compliance fails. In some cases, it was a regulator finding fault and demanding change. In others, acquiring companies noticed something a little fishy in their new acquisition. What formed a compliance triumph in every case wasn’t the mistake; it was the ...
2025-12-30T12:00:00Z By Brett Erickson, CW guest columnist
Anti-bribery and corruption failures in financial institutions rarely stem from bad policies.
2025-12-29T12:00:00Z By Ruth Prickett
If 2025 was the year generative AI took off in organizations in every sector, it was also the year we saw increasing examples of the risks of AI mishaps.
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