By
Aaron Nicodemus2020-08-27T15:59:00
In a split decision, the Securities and Exchange Commission has loosened requirements public companies must follow when they describe risk factors and legal proceedings in their financial statements.
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2019-08-29T14:52:00Z By Jaclyn Jaeger
SEC Commissioners Robert Jackson and Allison Herren Lee have expressed concerns about the move toward principles-based requirements with Regulation S-K and advocated for more requirements to disclose climate risk.
2019-08-09T17:05:00Z By Jaclyn Jaeger
The SEC is seeking comment on proposed amendments to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make under Regulation S-K.
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?
2025-12-24T18:45:00Z By Neil Hodge
Europe has been at the forefront of designing strong—but flexible—rules around data use and the safe development of AI, but the EU recently announced plans to simplify some key measures around data privacy and AI governance, which have met with mixed responses.
2025-12-19T20:33:00Z By Aaron Nicodemus
Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared insights with Compliance Week regarding the self-regulatory organization’s use of Artificial Intelligence in monitoring trends in the market, spotting threats, and keeping its members informed.
2025-12-15T18:04:00Z By Ruth Prickett
European banks and financial institutions must prepare now for stringent new rules on third-party suppliers.
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