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Category: SEC

Cat and teddy bears watching a movie

Top Four Artificial Intelligence Risks on SEC’s Radar

Cat and teddy bears watching a movie

Likely confounding an audience at Yale Law School accustomed to rote legal speeches, Securities and Exchange Commission Chair Gary Gensler in recent remarks on artificial intelligence offered riffs on Valentine’s Day, robots and his affinit...

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Canary bird

Everything is Coming Up Whistleblowers

Canary bird

Good news, whistleblowers: The Supreme Court just gave you a huge victory. Even better, the robed justices aren’t the only arm of the government looking to protect whistleblowers. A decision last week from the highest court in the land affi...

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A crop harvested in stripes

Thirty Years After ‘Informant!’ Scandal, Inquiry Probes Executive Bonuses at ADM

A crop harvested in stripes

A Midwestern agribusiness may seem like an unlikely setting for million-dollar corporate intrigue, but that’s not for lack of trying on the part of Archer-Daniels-Midland Co. Roughly 30 years after the food-processing company endured a Holl...

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Gossiping children

SEC Toughens Transparency Rules for SPACs

Gossiping children

We don’t hear much anymore in the compliance world about special purpose acquisition companies, more commonly known as SPACs. It tends to be bad when we do, such as last week’s news that the Securities and Exchange Commission slapped Northe...

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Scenic Blue Ridge Highway bypass

Exxon Bypasses SEC, Seeks Court Order to Block ESG Shareholder Proposal

Scenic Blue Ridge Highway bypass

As companies contemplate how best to respond to the rising number of environmental, social and governance (ESG) proposals from activist shareholders, Exxon Mobil has employed an unusual strategy to avoid such a vote. The oil giant is sidest...

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