Public companies, investment advisers, broker-dealers, and other SEC-regulated entities operate under disclosure obligations, internal control requirements, and a rapidly evolving regulatory landscape around AI, cybersecurity, and ESG. Precision in compliance is not optional when you're operating in public markets.
The SEC's regulatory agenda has expanded significantly in recent years — new cybersecurity disclosure rules, AI governance expectations for public companies, climate-related disclosure requirements, and an enforcement posture that has focused on timely and accurate material disclosure. At the same time, the intersection of AI with financial services, investment advice, and public company operations is creating governance questions that most compliance programs were not designed to answer.
Material disclosure obligations under Regulation S-K and S-X, periodic reporting requirements, the 8-K current reporting triggers, and the Regulation FD selective disclosure prohibitions create a disclosure compliance infrastructure that requires constant attention — especially as AI and technology raise new materiality questions.
AI use in trading, investment analysis, financial modeling, and public company operations creates disclosure obligations that most companies have not fully assessed. SEC staff guidance and enforcement activity have signaled that AI-related risks and the use of AI in material business processes may require disclosure under existing frameworks.
The SEC's 2023 cybersecurity disclosure rules require public companies to disclose material cybersecurity incidents within four business days of determining materiality, and to provide annual disclosures about cybersecurity risk management, strategy, and governance. Most companies are still building the incident response and disclosure processes these rules require.
SEC-regulated entities that also operate internationally face overlapping compliance obligations: EU AI Act requirements for public companies using AI, GDPR for investor and customer data, and the increasingly complex intersection of U.S. securities law with foreign regulatory frameworks that create multi-jurisdictional compliance programs.
We serve public companies, investment advisers, and other SEC-regulated entities with compliance advisory that is precise, credentialed, and built for the disclosure demands of public markets — from cybersecurity disclosure readiness and AI governance to SOX controls and the fractional executive leadership that smaller public companies need.
Strategic compliance advisory for SEC-regulated entities: disclosure program design, periodic reporting process management, materiality analysis frameworks, Regulation FD compliance programs, and the organizational compliance infrastructure that supports accurate and timely disclosure obligations.
Learn More →AI governance programs designed for SEC disclosure requirements: AI risk assessment for disclosure materiality analysis, AI use documentation for annual report disclosures, governance framework design, and the board-level oversight infrastructure that SEC staff guidance and institutional investors expect from public companies using AI in material operations.
Learn More →SEC cybersecurity rule compliance: incident materiality determination process design, Form 8-K cybersecurity incident disclosure workflows, annual Form 10-K cybersecurity governance and strategy disclosure drafting, and the incident response infrastructure that supports timely and accurate disclosure within the SEC's four-business-day requirement.
Learn More →Fractional Chief Compliance Officer and Chief Risk Officer services for smaller public companies, emerging growth companies, and investment advisers: SEC-credentialed compliance leadership without the full-time cost, embedded in your organization and accountable to your board and audit committee.
Learn More →Analytics for SEC reporting: financial reporting dashboards, variance analysis automation, internal control testing workflows, audit committee reporting infrastructure, and the data analytics capabilities that support both accurate periodic reporting and the analytical rigor that SOX internal control requirements demand.
Learn More →Automating SEC compliance operations: disclosure calendar and deadline management, EDGAR filing workflow coordination, Regulation FD pre-clearance workflows, insider trading compliance automation, and the compliance operational infrastructure that reduces manual burden while improving accuracy and audit trail documentation.
Learn More →SEC-regulated companies operate under a disclosure and governance framework that has expanded in scope and enforcement intensity. We understand these rules at the level of operational implementation — not just as a summary of what they require.
The core disclosure standards for SEC filings: Regulation S-K item requirements for business description, risk factors, MD&A, and governance disclosures; Regulation S-X financial statement requirements; and the evolving SEC staff guidance that has expanded S-K disclosure expectations around technology, AI, and cybersecurity risk.
Periodic and current reporting obligations: annual report on Form 10-K, quarterly reports on Form 10-Q, and current reports on Form 8-K for material events — including the new cybersecurity incident reporting obligations that require 8-K disclosure within four business days of a materiality determination.
Fair Disclosure rules: selective disclosure prohibition for material non-public information, simultaneous public disclosure requirements, Regulation FD compliance programs for investor relations and management communications, and the policies that govern what can be communicated to analysts, investors, and other market participants outside of public filings.
The SEC's 2023 cybersecurity disclosure rules: Form 8-K Item 1.05 material cybersecurity incident disclosure within four business days, Form 10-K Item 106 annual disclosure of cybersecurity risk management strategy and governance, and the board oversight and management role disclosures that the rules require.
Internal control over financial reporting: CEO/CFO certifications under Sections 302 and 906, management's annual assessment of ICFR under Section 404(a), auditor attestation for accelerated filers under Section 404(b), and the internal control documentation and testing programs that support accurate SOX compliance.
Electronic filing obligations with the SEC: EDGAR filing system requirements, XBRL/iXBRL tagging for financial statements and disclosures, filing deadline management, and the submission process and technical requirements that ensure periodic and current reports are filed accurately and on time to avoid late filing consequences.
Public market compliance leaves little margin for error. We bring the credentialed expertise, the operational rigor, and the implementation capacity to build compliance programs that perform under regulatory scrutiny. Let's have a conversation about what you're building.