By
Aaron Nicodemus2021-11-02T20:38:00
SEC Commissioner Elad Roisman says the agency should mull over whether to require public companies and investment advisers to perform the same kind of reporting, preparation, and planning for cyber incidents that FINRA requires of registered broker-dealers.
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2022-03-09T23:04:00Z By Aaron Nicodemus
Public companies would have to report material cybersecurity incidents no later than four business days after they occur if a rule proposed by the Securities and Exchange Commission takes effect.
2022-01-25T22:27:00Z By Aaron Nicodemus
The Securities and Exchange Commission is kicking the tires on new cybersecurity and data privacy disclosure requirements for investment companies, investment advisers, broker-dealers, and public companies, according to agency Chair Gary Gensler.
2021-12-20T21:01:00Z By Kyle Brasseur
The Securities and Exchange Commission will be down a Republican commissioner next month following the planned resignation of Elad Roisman.
2026-03-19T14:50:00Z By Ruth Prickett
Corruption isn’t something that happens somewhere else, in other countries and committed by other people. Nowhere is corruption-proof, and new rules being introduced in the EU and the U.K. aim to focus compliance officers on the full gamut of risks in all jurisdictions and every sector.
2026-03-18T00:00:00Z By Jaclyn Jaeger
Employment law in the age of AI is evolving faster than many companies can keep pace. As more states enact AI laws and as more case law piles on, chief compliance officers and in-house counsel must ensure that compliance policies and procedures evolve as AI legal and compliance risks evolve.
2026-03-16T20:22:00Z By Ruth Prickett
AI implementations are surging, but many new systems are being abandoned after companies have invested in expensive projects. Now evolving AI regulation is adding to the list of reasons why new systems may fail. Compliance must watch emerging regulatory developments and ensure that any new AI tools are capable of ...
Site powered by Webvision Cloud