Lawyer and financial services investigator Carroll Barry-Walsh says government inaction is not an option.
Companies now need to disclose on risk management, strategy and governance procedures – and on material cyber incidents by December 18.
Global Relay’s quarterly roundtable features a range of topics that top compliance officers have to tackle.
Reforms bring several significant requirements applicable to private fund managers, including non-US based advisers and exempt reporting advisers.
The SEC charged the private equity firm for failing to adequately disclose millions of dollars of real estate brokerage fees that were paid to a real estate brokerage firm owned by its CEO.
FTC updates guidelines to businesses on disclosure of payments they make to influencers to promote their products.
Gurbir Grewal set out the Division of Enforcement’s five guiding principles.
SEC settles charges against Stanley Black & Decker for failing to disclose perks it provided certain executives, but imposes no money penalty.