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Category: SEC

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Adviser Compliance, Crypto, Money Laundering Among SEC Exam Priorities

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Cybersecurity. Cryptocurrency. Money laundering. In a recently released report on its examination priorities for 2024, the Securities and Exchange Commission Division of Examination – better known as EXAMS – highlighted several areas it int...

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CCO Liability Becomes Hot Topic in Compliance Circles

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Speaking at a New York City Bar Association event last month, the director of the Securities and Exchange Commission Division of Enforcement opened his remarks with a warning about the eroding levels of public trust in institutions across t...

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AI Safety at Corporations a Concern for Biden, Shareholders

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Seeking to harness the benefits of rapidly advancing artificial intelligence while also attempting to manage its growing risks, President Biden this week issued an executive order to establish new standards for AI safety, security, and priv...

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Gensler Warns Big Business About Pitfalls of Spiking Climate Disclosure Rules

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Securities and Exchange Commission Chair Gary Gensler has apparently decided to go as the Devil You Know for Halloween this year. Gensler donned his costume – in a metaphorical sense, of course – last week when speaking about the SEC’s prop...

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Government Shutdown Would Reduce SEC to ‘Skeletal’ Staff

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After passing a stopgap funding bill on September 30, Congress is facing a tight deadline to approve longer-term legislation to fund the federal government and avoid a shutdown. Lawmakers in recent years have often scrambled to beat the clo...

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