Regulation & Compliance

Should Chief Compliance Offices (CCO) be held accountable for failures in corporate governance, that participate in Securities Law violations?

Should Chief Compliance Offices (CCO) be held accountable for failures in corporate governance, that participate in Securities Law violations? Could the same apply to CISOs for failure to comply with cybersecurity and data protection violations? Ted Dziekanowski #cybersecuirty #securitiesandexchangecommission #securities…

The regulatory agenda for cybersecurity risk management is developing as are the roles of the cyber, legal and risk professional in regulatory…

The regulatory agenda for cybersecurity risk management is developing as are the roles of the cyber, legal and risk professional in regulatory compliance. Providing oversight and assurance of cybersecurity risk management to the board room and in turn regulators. That…

A great summary of the latest feedback on the Securities and Exchanges Commissions Cybersecurity risk management proposal is informative.

A great summary of the latest feedback on the Securities and Exchanges Commissions Cybersecurity risk management proposal is informative. It shows a split between industry, investors and regulators on the proposed ruling, the depth of feeling on cyber incident reporting,…

A really nice speech given by the Chair of the SEC, Gary Gensler to the North American Securities Administrators Association (NASAA) on investor…

A really nice speech given by the Chair of the SEC, Gary Gensler to the North American Securities Administrators Association (NASAA) on investor protection in the digital age. Discussing investment bias in analytics, systemic risk concentration and crypto. Reinforcing some…

Regulatory compliance in the U.S. especially in the areas of Sanctions, Cyber and Crypto is creating a compliance headache both for Federal agencies…

Regulatory compliance in the U.S. especially in the areas of Sanctions, Cyber and Crypto is creating a compliance headache both for Federal agencies and their intended recipients. While Sanctions are not new, the convergence of AML, ESG, Cybersecurity and Crypto…

The increase in regulatory scrutiny of cybersecurity will require a closer working relationship between cybersecurity, regulatory compliance, risk…

The increase in regulatory scrutiny of cybersecurity will require a closer working relationship between cybersecurity, regulatory compliance, risk management and legal. As global regulators such as the SEC and those in the European Union focus in on cybersecurity risk management,…