In response to compliance officer personal liability concerns and increasing SEC regulations, Commissioner Peirce proposed the creation of a compliance advisory committee, which would bring together SEC regulators and...more
11/4/2024
/ Advisory Committee ,
Compliance ,
Continuing Legal Education ,
Corporate Misconduct ,
Corporate Officers ,
Criminal Liability ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Investment Adviser ,
Liability ,
Personal Liability ,
Securities and Exchange Commission (SEC) ,
State Bar Associations
On August 1, the Federal Trade Commission (FTC) and Department of Justice (DOJ) virtually cohosted the first public meeting of the multiagency Strike Force on Unfair and Illegal Pricing (Strike Force), focused on antitrust...more
8/12/2024
/ Biden Administration ,
Consumer Financial Protection Bureau (CFPB) ,
Consumer Product Companies ,
Department of Health and Human Services (HHS) ,
Department of Justice (DOJ) ,
Department of Transportation (DOT) ,
DOJ Strike Force ,
Enforcement ,
Enforcement Priorities ,
FCC ,
Federal Trade Commission (FTC) ,
Government Agencies ,
Grocery Stores ,
Product Pricing ,
Public Meetings ,
Securities and Exchange Commission (SEC) ,
Supply Chain ,
Unfair Pricing ,
USDA
Director of Enforcement of the U.S. Securities and Exchange Commission (SEC or Commission) Gurbir Grewal warns of the risks surrounding artificial intelligence (AI) related disclosures and puts investment advisers and public...more
The new flexible work environment created in the post-pandemic years poses unique challenges for companies and individuals who work outside a traditional office. The SEC knows this and is actively enforcing the securities...more