By Aaron Nicodemus2022-05-17T17:15:00
Two SEC commissioners from opposite sides of the political aisle took slightly different positions on how to assess the liability of poor performing chief compliance officers as part of the Day 2 opening keynote at Compliance Week’s National Conference.
2022-08-04T18:44:00Z By Aaron Nicodemus
The Securities and Exchange Commission’s move to classify nine cryptocurrencies as securities as part of insider trading charges it brought against a former Coinbase manager has touched a nerve with other regulators, particularly the Commodity Futures Trading Commission.
2022-07-05T17:41:00Z By Kyle Brasseur
What would it look like if the SEC adopted a chief compliance officer liability framework? Commissioner Hester Peirce offered a preview in a statement regarding an enforcement action against the CCO of a formerly registered investment adviser.
2022-06-27T15:36:00Z By Kyle Brasseur
Chief compliance officer concerns regarding the Department of Justice’s new certification policy have not been alleviated by the agency’s inconsistent communication regarding the requirement.
2025-08-14T15:13:00Z By Ruth Prickett
Navigating tariffs and sanctions is becoming a core part of compliance for many companies. As the U.S. and others use economic policies for political aims, compliance teams must adapt to this new geoeconomic trend.
2025-08-13T19:45:00Z By Oscar Gonzalez
The U.S. Environmental Protection Agency reopened its guidance portal on Wednesday. This online portal is a searchable database of EPA guidance documents, first created during President Donald Trump’s first term and shuttered under the Biden administration.
2025-08-13T18:00:00Z By Aly McDevitt
Securities and Exchange Commission Chairman Paul Atkins has launched “Project Crypto,” a major regulatory overhaul aimed at shifting the agency from enforcement to innovation. Atkins’ address outlined as many as nine Commission-wide initiatives to revamp the SEC’s rulebook for the digital finance era.
Site powered by Webvision Cloud