As artificial intelligence (AI) expands into virtually every industry, companies should consider AI’s potential impacts on corporate governance and internal controls.
Companies should integrate AI thoughtfully to ensure...more
1/26/2024
/ Artificial Intelligence ,
Climate Change ,
Corporate Governance ,
Data Breach ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Fraud ,
Governance Standards ,
Internal Controls ,
Investment Adviser ,
Machine Learning ,
Profits ,
Proposed Rules ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Transparency
On the heels of record-breaking enforcement in 2022, expect continued aggressive pursuit of Chair Gensler’s priorities in 2023.
The SEC will continue to bring its considerable resources to bear to address ESG-related...more
1/30/2023
/ Audits ,
Broker-Dealer ,
Compliance ,
Consumer Protection Act ,
Corporate Counsel ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Dodd-Frank ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Individual Accountability ,
Insider Trading ,
Investment Adviser ,
Private Funds ,
Proposed Rules ,
Securities ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblowers ,
Willful Misconduct
The SEC’s recent enforcement actions, public statements and proposed rulemaking indicate that cybersecurity will be an area of heightened focus for the Gensler Commission.
New proposed rules would require public companies...more
3/30/2022
/ Broker-Dealer ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Enforcement Actions ,
Investment Adviser ,
National Security ,
Popular ,
Proposed Rules ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act