Regulation & Compliance

Auditors be aware. The SEC has approved 2 PCAOB proposals updating audit standards regarding general responsibilities of the auditor and use of…

Auditors be aware. The SEC has approved 2 PCAOB proposals updating audit standards regarding general responsibilities of the auditor and use of technology-assisted analysis in conducting an audit. Also approving a proposal amending ethics rules governing the liability of an…

Apologies a little late. This post focuses on remarks made by the SEC director of enforcement Gurbir Grewal back in April 2024, that are pertinent…

Apologies a little late. This post focuses on remarks made by the SEC director of enforcement Gurbir Grewal back in April 2024, that are pertinent to the role of the Chief Compliance Officer(CCO), Chief Information Security Officer (CISO) the management…

A nice little earner as the SEC charges 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for…

A nice little earner as the SEC charges 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications. It’s an investigation that been…