By Joe Mont2018-06-06T15:45:00
Requesting increased funding for Fiscal Year 2019 before a Senate committee, the heads of the SEC and CFTC touted the need to ramp up their internal cyber-security efforts and external supervision and enforcement of breaches.
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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.
2025-12-18T18:28:00Z By Adrianne Appel
The Federal Trade Commission allegations against Uber, alleging deceptive billing and subscription cancellations, have snowballed, with 21 states and the District of Columbia joining the lawsuit.
2025-12-17T20:09:00Z By Adrianne Appel
The 2025 year has been so rich with compliance stinkers, and rife with poor judgment, compliance missteps, outright malfeasance and greed, greed, greed, that it was almost impossible to choose just six epic compliance failures from this year’s massive poop pile.
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