The SEC’s fiscal year 2024 enforcement results signal a pivotal moment for U.S. capital markets. Despite a 26% decline in the total number of enforcement actions compared to 2023 (sitting at a total of 583 for this year), the...more
12/4/2024
/ Compliance ,
Corporate Governance ,
Corporate Misconduct ,
Enforcement Actions ,
Individual Accountability ,
Penalties ,
Securities and Exchange Commission (SEC) ,
Transparency ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
We’ve talked before about how speak-up culture is on the rise; 6,000 more anonymous hotline reports were filed in 2023 than 2022, according to the respondent of Mitratech’s 2024 State of Ethics Reporting Hotlines....more
8/7/2024
/ Anti-Retaliation Provisions ,
Burden of Proof ,
Canada ,
CFTC ,
Confidentiality Policies ,
Corporate Culture ,
Dodd-Frank ,
Ethics ,
Incentives ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Hotlines ,
Whistleblowers
A first-of-its-kind executive order issued October 2023 already has the voluntary commitment of several major technology companies — here’s why.
Just last week, President Joe Biden signed a new, first-of-its-kind AI...more
11/8/2023
/ Artificial Intelligence ,
Bias ,
Biden Administration ,
Collaboration ,
Data Security ,
Department of Education ,
Equity ,
Executive Orders ,
Governance Standards ,
Healthcare ,
Innovation ,
Labor Regulations ,
Popular ,
Privacy Laws ,
Risk Mitigation ,
Safety Standards ,
Securities and Exchange Commission (SEC) ,
Technology Sector