-
SEC Chair highlights competition in capital markets in speech
Thought-provoking remarks following the speech suggest treasury market reform a key focus for the SEC, while books and record requirements remain non-negotiable.
-
Tax and finance professionals positive about GenAI, says EY survey
Responses from 1,600 professionals reveal embrace of technology, but firms are still slow to act.
-
The DOJ revises Evaluation of Corporate Compliance Programs to spotlight new tech
Changes to the document mainly emphasize emerging technologies and data analytics.
-
FINRA Annual 2024: Panelists share best practices on data analytics and Gen AI
Senior figures talked about how technology such as LLMs present great business opportunities … and risks.
-
SIFMA 2024: Panelists tackle SEC proposal on predictive analytic tools
Sharp differences emerged during discussion on neutralizing conflicts of interest created by algorithms.
-
SEC charges ex-CEO for statements made on social media to boost stock price
SEC says former CEO made false and misleading statements in press releases and on social media channels such as Stocktwits and YouTube.
-
DOJ Fraud Section’s Year in Review shows continued focus on individuals, cooperation policy
Annual Report underlines change in tone from punitive enforcement to incentivizing good conduct.
-
Acting Assistant AG Argentieri makes key announcement at FCPA conference
Acting Assistant AG Nicole Argentieri unveiled a new resource at DOJ designed to help it better locate and prosecute FCPA cases.