By
Aaron Nicodemus2022-03-07T21:33:00
A commissioner at the Securities and Exchange Commission has proposed establishing a minimum set of standards for lawyers advising public companies on securities law to combat a trend of “overzealous” representation.
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2022-03-15T15:45:00Z By Aaron Nicodemus
Allison Herren Lee announced she will not seek a second term as a commissioner at the Securities and Exchange Commission once her current term expires in June.
2022-01-12T20:55:00Z By Aaron Nicodemus
The National Society of Compliance Professionals has drafted a framework that urges regulators to consider chief compliance officer liability more holistically, in the context of the compliance culture within a CCO’s firm.
2021-06-22T13:44:00Z By Kyle Brasseur
Despite best effort, a chief compliance officer has a lot to lose when his or her company faces enforcement. Acknowledging this as part of any potential CCO liability framework will be important to its success.
2026-03-11T21:06:00Z By Adrianne Appel
The Department of Justice (DOJ) criminal division has announced a blanket policy against prosecuting companies that voluntarily disclose criminal wrongdoing and take other steps—and holding any individuals involved accountable for their criminal activities.
2026-03-03T19:39:00Z By Neil Hodge
The U.K.’s financial regulators have long maintained that AI use by banks, insurers, and other financial services firms is already regulated under existing rules, but such assurances are increasingly being questioned.
2026-02-27T21:15:00Z By Ruth Prickett
Sustainability reporting rules for U.K. listed companies are set to change. The U.K. financial regulator has launched a consultation laying out its proposals, which aim to align the reporting regime with the international ISSB standards.
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