7 h 56 m, 29 sept 2011 año - SEC Initiation of 'Risk Alerts'

Descripción:

The SEC begins initiating Risk Alerts. When the NEP identifies conduct that may create new risks for the industry. The SEC then shares its concerns with senior management and compliance / risk managers via Risk Alerts. The program began in 2011 with the goal not only to inform, but prompt action—and so that executives could no longer "claim ignorance after the fact."