Live Breaking News & Updates on Compliance inspections

Stay updated with breaking news from Compliance inspections. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.

Insider Trading And Off-Channel Communications In The Age Of Remote And Hybrid Work Environments - Securities

Though many, if not most, of the measures implemented to address the COVID pandemic have since been rolled back, the transition from fully in-person to remote and hybrid work environments appears to be here to stay.

Steven-peikin , Stephanie-avakian , Steven-teixeira , Tyler-loudon , Office-of-compliance-inspections , Channel-communications , Advisory-firm-senvest-management , Travelcenters-of-america-inc , Senvest-management , Husband-of-energy-company , Work-environments-risks , Jordan-meadow

SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

Pennsylvania , United-states , Toronto , Ontario , Canada , Rome , Lazio , Italy , Public-school , New-york , Texas , Chicago

Sars collects R1.741 trillion in tax, R10 billion more than estimated

Sars has collected a record amount of tax in the 2023/24 tax year, but remains concerned about fraud and abuse of the tax system.

Pretoria , Gauteng , South-africa , Edward-kieswetter , Compliance-programme , Personal-income-tax , Corporate-income-tax , Value-added-tax , Specialised-audits , Syndicates-crimes , Compliance-inspections , Incentive-scheme

Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool Operators | Foley Hoag LLP

INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state...

Massachusetts , United-states , Delaware , California , Cayman-islands , Federal-reserve-bank , Nasdaq , Large-private-equity-fund-advisers , Exchange-commission , National-futures-association , Massachusetts-securities-division

Daily Financial Regulation Update -- Friday, October 6, 2023 | Paul Hastings LLP

October 5, 2023- The Federal Deposit Insurance Corporation Board of Directors approved a Notice of Proposed Rulemaking on Proposed Guidelines Establishing Standards for...

Washington , United-states , United-kingdom , New-york , Department-of-education , District-of-columbia , Travis-hill , Boston , Massachusetts , Michelle-bowman , Martinj-gruenberg , Lise-kruse

Artificial Intelligence: SEC Proposals And Concerns - New Technology

The US Securities and Exchange Commission (SEC) indicated this summer that it plans to introduce proposals to regulate conflicts of interest associated with artificial intelligence...

United-states , American , Gary-gensler , Lily-bailey , Scottw-baugess , Michaelj-hsu , Division-of-investment-management , American-bankers-association , Advisory-committee , Exchange-commission-division , Exchange-commission , Division-of-economic

SEC passes new rules for private equity and hedge funds, requiring audits

SEC passes new rules for private equity and hedge funds, requiring audits
accountingtoday.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from accountingtoday.com Daily Mail and Mail on Sunday newspapers.

Washington , United-states , Al-drago-bloomberg , Ken-joseph , Gary-gensler , Office-of-compliance-inspections , Division-of-enforcement , Exchange-commission , House-appropriation-subcommittee , Compliance-inspections , Dodd-frank-wall-street-reform , Consumer-protection-act

SEC appoints interim acting co-directors of exams division

SEC appoints interim acting co-directors of exams division
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Richard-best , Gary-gensler , Department-of-justice-office-legislative-affairs , Enforcement-division , Greiner , Technology-controls-program , Division-of-examinations , Office-of-compliance-inspections , Division-of-trading , Director-richard-best , Technology-controls , Intergovernmental-affair

Navigating CCO liability risks: Tips for staying out of the SEC's crosshairs | Society of Corporate Compliance and Ethics (SCCE)

The issue of chief compliance officer (CCO) liability has long been debated; it has become a grave concern for CCOs, CEOs, and other C-suite executives who put on “too many hats” within...

Massachusetts , United-states , New-york , California , Thomas-fox , Jeffrey-kirkpatrick , Nathaniel-botwinick , Bonniem-haupt , Mengqi-sun , Peterb-driscoll , Fizza-khan , Michael-asaro

Regulators' GP-Led Secondaries, Continuation Funds Increased Focus

Over the years, the SEC and its staff have expressed several different concerns potentially arising under GP-led secondary transactions implicating the duty of care and the duty of loyalty.

Office-of-compliance-inspections , Event-reporting-for-large-hedge-fund-advisers , Division-of-examinations , Equity-fund-advisers , Proskauer-rose , Division-of-examination , Fund-adviser , Concerns-implicated , Led-secondary , Investment-advisers-act , Require-event-reporting