By
Aaron Nicodemus2021-03-05T20:11:00
OK, OK, Securities and Exchange Commission. We get the message. Climate and ESG-related disclosures will be under increased scrutiny in 2021.
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2023-03-29T17:02:00Z By Adrianne Appel
Brazilian mining company Vale agreed to pay $55.9 million to settle Securities and Exchange Commission charges it issued false and misleading statements regarding the safety conditions of its dams.
2021-05-26T14:30:00Z By Aaron Nicodemus
The SEC has taken numerous steps indicating its intention to require public companies to disclose ESG risks, but the question of how such disclosures will work in practice is still very much unanswered.
2021-04-15T20:34:00Z By Aaron Nicodemus
SEC examiners are focusing on whether registered firms’ ESG disclosures align with their investment practices.
2025-12-24T18:45:00Z By Neil Hodge
Europe has been at the forefront of designing strong—but flexible—rules around data use and the safe development of AI, but the EU recently announced plans to simplify some key measures around data privacy and AI governance, which have met with mixed responses.
2025-12-19T20:33:00Z By Aaron Nicodemus
Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared insights with Compliance Week regarding the self-regulatory organization’s use of Artificial Intelligence in monitoring trends in the market, spotting threats, and keeping its members informed.
2025-12-15T18:04:00Z By Ruth Prickett
European banks and financial institutions must prepare now for stringent new rules on third-party suppliers.
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