In-depth coverage of governance frameworks, risk management, compliance programs, and regulatory developments.
Governance Codes and FrameworksWhen the SEC proposed significant changes to Emerging Growth Company accommodations and filer status classifications, the response from academics and former regulators was clear: the Commission s econ
Governance Codes and FrameworksThe Decision You Are Facing Your board and executive team rely on a governance framework focused on reducing agency costs and maximizing shareholder value. Recent state-level corporate law reforms, in
Enterprise Risk ManagementUnderstanding the Current Compliance Landscape Since Andy Burnham took office in July, compliance officers across sectors have been asking: what changes now? The closure of the Department for Science,
Ethics and ConductThe Challenge On September 30, 2022, FinCEN published regulations under the Corporate Transparency Act requiring about 32 million domestic and foreign companies to file beneficial ownership informatio
Get weekly security insights and compliance updates delivered to your inbox.
Ethics and ConductThe federal beneficial ownership reporting obligation for U.S. companies ends on August 14, 2026. If your entity is formed in the United States, you re no longer required to report to FinCEN . However
Shareholder Rights and MeetingsThe SEC s proposed Regulation E-Delivery , filed July 16, 2026, will fundamentally change how your organization delivers regulatory information to investors. If finalized, electronic delivery will bec
generalThe Conventional Wisdom Your compliance team likely welcomed the SEC and CFTC s joint request for comment on harmonized swap data reporting. The promise seems clear: unified frameworks should mean les
Enterprise Risk ManagementPurpose of the Template Your compliance program may not be equipped to manage systems that learn from data, evolve, and produce outputs that aren t always explainable. If your organization uses AI in
Board Committees and GovernanceWhat Happened In November 2025, the SEC Division of Corporation Finance announced it would no longer provide substantive staff review for most shareholder proposal exclusion requests under Rule 14a-8.
Enterprise Risk ManagementU.S. financial supervisors are recalibrating their approach. Exam scope is narrowing, procedural formalities are being trimmed, and supervisory bodies are placing greater weight on material risks over
Ethics and ConductCompliance officers frequently hear about AI s potential. Vendors claim it will revolutionize your program, while consultants warn you re lagging if you haven t automated your gap analyses. AI can ind
Investor Stewardship and EngagementContext: Questions Boards Are Actually Asking These questions arise from real board discussions following activist disclosure letters. They reflect the urgency when a company can t articulate its purp
Enterprise Risk ManagementThe question at hand Your compliance team monitors DORA , the EU AI Act , NIS2 , and UK-specific guidance from the FCA and PRA. Each framework generates technical standards, supervisory Q As, and enfo
Board Committees and GovernanceThe SEC s establishment of the Financial Reporting and Accounting Unit on August 5, 2026, under Timothy Zimmerman s leadership, signals a strategic focus on financial reporting fraud and auditor misco
Ethics and ConductThe launch of the National Fraud Enforcement Division introduces a challenge no compliance framework was designed to handle: enforcement priorities that shift with political influences rather than sta
Ethics and ConductA robust FCPA compliance program is often seen as a safeguard for both companies and executives. Implement the right controls, train your staff, and document procedures, and exposure to risk should de
Enterprise Risk ManagementWhen your board asks internal audit to lead ERM, you need a document that defines exactly what that means. This charter template establishes boundaries, safeguards, and reporting lines to preserve aud
Governance Codes and FrameworksWhen formal guidance is absent, your organization must still interpret the rules. The question isn t whether interpretation occurs during regulatory silence, it s whether you ve documented who made th
Ethics and ConductWhen the SEC charged Adit Ventures Management and its CEO with defrauding investors through undisclosed fees and unauthorized transactions, the complaint highlighted a recurring issue: advisory firms
Enterprise Risk ManagementThe Disconnect in Risk Management Risk management programs have drifted from their core purpose. According to ISO 31000 , risk is the effect of uncertainty on objectives. However, many organizations r
