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Internal Communications Compliance Policies and Procedures

Rumberger | Kirk

FINRA Reminds Financial Firms How AI Use Poses Significant Risks

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These days, artificial intelligence is everywhere we look, and the financial services industry is no different. As AI use increases, regulatory bodies are updating their rules and guidelines detailing how companies should and...more

Reveal

A Comprehensive Guide to Enterprise Governance, Risk and Compliance (EGRC)

Reveal on

Running a corporation comes with certain risks, as all corporate leaders know. But running a corporation without regard for proper governance, risk management, and compliance measures is a much, much riskier—and...more

BCLP

SEC penalizes company with good disclosures for insufficient controls

BCLP on

What happened? In a recent settlement order, the SEC charged Activision Blizzard with failing to maintain adequate disclosure controls and procedures. Notably, the SEC did not claim that the company’s SEC filings were...more

Society of Corporate Compliance and Ethics...

[Event] Internal Investigations Compliance Workshop - July 19th - 21st, Lake Buena Vista, FL

Get the training you need to conduct internal investigations - The SCCE Internal Investigations Workshop provides two days of focused training on conducting compliance-related internal investigations. Attendees also have...more

Society of Corporate Compliance and Ethics...

[Event] Internal Investigations Workshop - January 22 - 24, San Francisco, CA

The SCCE Internal Investigations Workshop provides two days of focused training on conducting compliance-related internal investigations, the domestic workshops also offer an optional third day post conference. Learn from...more

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