Compliance into the Weeds-Episode 40, COSO ERM Framework Update
Two recent developments highlight the challenges companies may face as they explore ways to incorporate AI-based chatbots into their customer service offerings: - A putative class action filed in California federal...more
The District of Columbia Circuit Court of Appeals, in Kourouma v. FERC, (Docket No. 11-1283, July 23, 2013), has set new precedent affirming FERC’s authority to enforce penalties for a seller’s violation of its Market...more
The US Court of Appeals for the Ninth Circuit upheld summary judgment in favor of the Securities and Exchange Commission, finding that managers of unregistered broker-dealer Radical Bunny LLC (Radical Bunny) failed to raise...more