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The U.S. Securities and Exchange Commission this week said it settled charges against two investment advisers related to "AI washing," or essentially making false claims about their use of artificial ...
With text messages and emails under tightened surveillance, financial firms may now have to screen staff video calls for possible rule-breaking, amid concern regulators are poised to scrutinize such ...
New rules proposed by the U.S. Securities and Exchange Commission on cybersecurity and climate impact disclosures may generate more lawsuits that will generate claims against directors and officers ...
For U.S. property/casualty insurance carriers, the landmark proposal by the U.S. Securities and Exchange Commission (SEC) on the disclosure of climate-related risks and greenhouse gas emissions (GHG) ...
Mandatory Securities and Exchange Commission disclosures about the reasons behind auditor firings are useless for assessing whether restatement trouble lies ahead for the company, according to new ...
Public companies that fail to tighten their cyber security controls could be violating federal law, the U.S. Securities and Exchange Commission (SEC) said on Tuesday. The regulator's warning came in ...
The U.S. Securities and Exchange Commission on Wednesday updated guidance to public companies on how and when they should disclose cyber security risks and breaches, including potential weaknesses ...
An anonymous tipster living abroad will be receiving more than $30 million, in the largest whistleblower award ever doled out by U.S. securities regulators as part of a program that aims to ...
The U.S. Securities and Exchange Commission (SEC) has put together a dedicated group to examine private equity and hedge funds, after the 2010 Dodd-Frank law required the funds to be regulated, ...
Credit raters failed to follow their own criteria, allowed research analysts to discuss fees with issuers and kept incomplete records, according to a report from the U.S. Securities and Exchange ...
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