By Tammy Whitehouse2015-12-09T15:30:00
Image: The SEC is considering making amendments to rules that would give domestic issuers the chance to provide IFRS-based information as a supplement to U.S. GAAP financial statements. At a recent conference, SEC Chair Mary Jo White said, “The staff has now developed a recommendation for the Commission’s consideration, which ...
2025-11-07T22:18:00Z By Adrianne Appel
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
2025-11-05T20:28:00Z By Ruth Prickett
Insurance firms are warning that AI-washing could trigger a slew of cases against directors, and are adjusting their directors’ and officers’ liability premiums accordingly. With regulators cracking down on AI-washing, compliance could be a crucial line of defense and save companies on their insurance costs.
2025-10-31T17:50:00Z By Adrianne Appel
The U.S. government shutdown has brought most operations at the Securities and Exchange Commission (SEC) to a screeching halt, but that doesn’t mean compliance teams should be taking a breather, experts advised.
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