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SEC brings action against biotech firm for false and misleading statements
The SEC found fault with the firm for how it reported cardiovascular safety results to investors regarding its drug, Roxadustat.
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Summer of CSRD Redux: Changes to European Sustainability Reporting Standards
An in-depth look at EFRAG’s proposed changes to the ESRS 1 General Requirements Standard.
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SEC issues statement on crypto asset exchange-traded products
SEC’s observations regarding disclosure practices following reviews of crypto asset ETP filings.
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Streamlined UK Enforcement Guide now in force
“Exceptional circumstances” test remains with three specific situations identified on when a public announcement will be more likely.
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Top compliance program mistakes (and how to avoid them): A marathon, not a sprint
The final part in this series of 3: Compliance as an ongoing commitment of documentation, consistency, and continuous improvement.
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OPINION: Is artificial intelligence the answer to the problem of CPIA disclosure?
Challenges arising from managing disclosure obligations under the Criminal Procedure and Investigations Act 1996.
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FCA’s second consultation on Consumer Composite Investments explained
The proposed CCI regime aims to replace the PRIIPs regime and certain UCITS disclosure requirements.
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Senate committee hearing provides hints on Atkins’ approach as SEC Chair
Atkins is expected to move to a far more market-friendly regulatory environment.