Tag: Training

SEC Admits Errors in Enforcement Proceedings, Staff Training Made Mandatory

In a notable admission of procedural missteps, the U.S. Securities and Exchange Commission (SEC) has expressed “serious and deep regret” over errors made during a recent enforcement proceeding. This rare acknowledgment from the regulatory body came via a new filing, highlighting a commitment to rectify these inaccuracies and prevent future occurrences. *** In response, the SEC has launched a comprehensive…

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The ‘Gamification’ of Insider Trading Compliance Training – Compliance Week

True Office is trying to make compliance training more interesting and effective — by turning it into a video game. Last week the company released games focused on insider trading and U.K. Bribery Act compliance that seek to “transform mandatory training into a fun and quantifiable experience.” via The ‘Gamification’ of Insider Trading Compliance Training – Compliance Week

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