BGC Partners, Inc. vs LPL Financial Holdings Inc., risk disclosures compared

5topics both disclose

5only BGC Partners, Inc.

6only LPL Financial Holdings Inc.

What both disclose

Topics appearing in filings from both companies, and how many filings each.

Topic	BGC Partners, Inc.	LPL Financial Holdings Inc.
Business Continuity	10	23
Restatement	5	6
Internal Control	1	5
Material Weakness	1	5
Consent Order	4	1

Only BGC Partners, Inc.

Topic	Filings
Regulatory Reporting	6
Operational Resilience	5
Regulatory Investigation	5
Internal Control Over Financial Reporting Material Weakness	2
Third Party Risk	1

Only LPL Financial Holdings Inc.

Topic	Filings
Ransomware	12
AI Governance	2
Artificial Intelligence	2
Data Governance	2
Third Party Risk Management	2
SOC 2	1

What this compares

Which of the topics we track appear in each company's SEC filings, and how often. A topic appearing for one company and not the other means one wrote the phrase down and the other did not, in the filings we hold. It does not mean one faces a risk the other does not, and it is not a comparison of how well either manages anything.

Counts reflect the filings we have collected, which is a growing subset rather than a company's complete history.

BGC Partners, Inc. · LPL Financial Holdings Inc. · All companies