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SEC, FBI Defend New Cyber Incident Disclosure Rule at Aspen Cyber Summit

SEC, FBI Defend New Cyber Incident Disclosure Rule at Aspen Cyber Summit

Plus the SEC identifies a new affinity group: investors who share a love of the outdoors.

Bruce Carton
Bruce Carton
When Internal Audit Talks, Are You Listening?

When Internal Audit Talks, Are You Listening?

Plus the FCPA Professor asks: "Does The SEC Even Need A Specific FCPA Unit?"

Bruce Carton
Bruce Carton
SEC Releases FY 2023 Enforcement Results, Including $5 Billion in Financial Remedies

SEC Releases FY 2023 Enforcement Results, Including $5 Billion in Financial Remedies

Plus the SEC charges Charter Communications for unauthorized stock buybacks.

Bruce Carton
Bruce Carton
Investors Now Using AI to Analyze Executives' Speech Rate, Tone, Pitch During Earnings Calls

Investors Now Using AI to Analyze Executives' Speech Rate, Tone, Pitch During Earnings Calls

Plus the SEC says companies should disclose AI plans, risks and investments.

Bruce Carton
Bruce Carton
Sizing Up the Cyber Attack and Potential Ransom Demand in the Allen & Overy Hack

Sizing Up the Cyber Attack and Potential Ransom Demand in the Allen & Overy Hack

Plus the Washington Post says if regulation ends crypto, "that's just fine."

Bruce Carton
Bruce Carton
SEC Charges Former Co-CEOs of Bitwise with Misleading Investors, Falsifying Documents

SEC Charges Former Co-CEOs of Bitwise with Misleading Investors, Falsifying Documents

Plus OneCoin’s "Head of Legal and Compliance" pleads guilty to wire fraud and money laundering.

Bruce Carton
Bruce Carton
Financial Firms Push Back Fiercely Against SEC's Proposed AI Rulemaking

Financial Firms Push Back Fiercely Against SEC's Proposed AI Rulemaking

Plus Rep. Emmer proposes legislation to defund the SEC's crypto enforcement.

Bruce Carton
Bruce Carton
After Bankman-Fried, Investor Class Action Focuses on Celebrities, Law Firms and VCs

After Bankman-Fried, Investor Class Action Focuses on Celebrities, Law Firms and VCs

Plus CFTC releases 2023 enforcement results and claims to be a "premier enforcement agency" for crypto.

Bruce Carton
Bruce Carton
SEC Commissioner Uyeda: SEC Should be Reluctant to "Set Regulatory Policy through Enforcement Actions"

SEC Commissioner Uyeda: SEC Should be Reluctant to "Set Regulatory Policy through Enforcement Actions"

Plus a look at the securities litigation and enforcement risks of AI.

Bruce Carton
Bruce Carton
How "Data Tagging" Will Help SEC Enforcement Against Public Companies

How "Data Tagging" Will Help SEC Enforcement Against Public Companies

Plus why the SDNY feels the "Need for Speed."

Bruce Carton
Bruce Carton
After Bankman-Fried Conviction, SDNY Warns: "We Have Enough Handcuffs for All of You"

After Bankman-Fried Conviction, SDNY Warns: "We Have Enough Handcuffs for All of You"

Plus the SEC charges Royal Bank of Canada for failed accounting controls.

Bruce Carton
Bruce Carton
SEC, DOJ Charge SafeMoon and Execs with Fraud

SEC, DOJ Charge SafeMoon and Execs with Fraud

Plus is "Hunterbrook" Sharesleuth 2.0?

Bruce Carton
Bruce Carton
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