News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
Disclosure & Financial ReportingWhat Happened On June 9, the SEC s Division of Examinations published a risk alert that changes the compliance landscape for investment advisers. The alert highlights five recurring deficiency pattern
Disclosure & Financial ReportingWhen a regulatory framework update comes with a 28-month implementation window, it s not a typical incident. But for compliance officers managing disclosure programs under the Prospectus Regulation ,
Disclosure & Financial ReportingMost financial institutions treat regulatory reporting like a tax: necessary, expensive, and to be minimized. That mindset creates a self-fulfilling prophecy. You build reporting processes that barely
Disclosure & Financial ReportingWhat Happened On March 21, 2022, the SEC advanced proposed rule amendments requiring public companies to disclose climate-related information in their financial filings. The proposal passed 3-1 and en
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Disclosure & Financial ReportingYour finance team just identified a material error in last quarter s earnings. The CFO is asking whether you need to invoke your clawback policy. The controller is wondering if this affects her bonus.
Disclosure & Financial ReportingThe Challenge When the European Single Electronic Format (ESEF) regulation took effect for fiscal years starting January 1, 2020, around 5,300 companies faced a seemingly simple task: tag your IFRS co
Disclosure & Financial ReportingThe Corporate ESG Reporting Directive (CSRD) expands ESG Reporting obligations to thousands of European companies starting in January 2024. If you re a GRC leader at an organization operating in or se
Disclosure & Financial ReportingNo public company has collapsed from Sarbanes-Oxley Act compliance in the last decade, but many have faced significant setbacks due to failures in this area. These failures often lead to restatements,
Disclosure & Financial ReportingThe European Single Access Point (ESAP) starts collecting data this month. If you re a compliance officer at an EU-listed company, an issuer with prospectuses filed in multiple member states, or a fir
Disclosure & Financial ReportingWhat Happened HSBC and Deutsche Bank s asset management arm, DWS Group , are facing allegations of greenwashing. The issue isn t that their marketing teams lied, but rather that their sustainability c
