Will the FTX case open up more reforms for corporate ownership and private placements? As FTX moves through the bankruptcy court one assumes that more information will come out about FTXs corporate failures and the failure of those mature investors…
The Securities and Exchange Commission has spent time setting out several regulations that focus on board governance, oversight and assurance. Adopting the compensation clawback rule that is the last of the executive compensation regulations required by the Dodd-Frank Act of…
A great article from the Harvard Law School that reviews the Securities and Exchange Commissions (SEC) 2022 – 2026 strategic plan. Ahead of what is expected to be a Quarter 1 2023 release of its much anticipated cybersecurity risk management,…
NIST is developing its CSF 2.0. The CSF is the recommeded cybersecurity framework for FISMA amongst other regulations. FISMA is important as it is the cybersecurity and supply chain risk management regulation that is required by all Federal Agencies. The…
The volume of cyber incidents faced by T-Mobile is not insignificant and belays the complexity of the problem they face. Writing a report recently on U.S and EU Cyber regulations I was struck by the depth and breadth of oversight,…
Whistleblower programs in the U.S have had a bit of a hare and tortoise thing going on. With Federal Agencies like the SEC being quick out the gate supported by the DoJ and others taking a more sedate approach. But…
Ted Dziekanowski one suspects that we are starting to gear up for the release of the SEC cybersecurity risk management proposal. That if materializes affects companies globally seeking capital from U.S markets covered under the Securities and Exchange Act 1934.…
The SEC Whistleblower program can award between 10% and 30% of the final settlement to a Whistblower. That would make the total fine between $123m and $370m against European Healthcare provider. One wonders what the infringement was Ted Dziekanowski, Rachel…
A great report by the Harvard Law School Forum on Corporate Governance. Assessing the cybersecurity preparedness of the Russell 3000 companies, ahead of the expected release in Quarter 1 2023 of the SEC proposal on cybersecurity risk management governance, strategy…
A balanced speech by Gurbir S. Grewal the Director, Division of Enforcement at the SEC. Citing the changes in focus of enforcement by the SEC over the past year and commitment to deter corporate misconduct and protect investors. Ted Dziekanowski…
