Biden’s Inauguration Heralds a New Era in Financial Regulation
Known for its “America First” policy, the Trump administration led a push to roll back financial regulatory measures. As Acuity ...
Tag: SEC
2 Surprises from the SEC’s New Fair Value Rule
The SEC recently adopted the Fair Value Rule, requiring fund investments to be fair valued where market quotations are not ...
SEC Modernizes Reporting Requirements for Public Companies
Recent updates by the SEC to reporting requirements are meant to elicit improved disclosures. McCarter & English partner Peter Campitiello ...
10 Takeaways from the SEC’s Mutual Fund Derivatives Rule
Nutter McClennen & Fish’s Mark Jensen and Ian Roffman address the SEC’s recently issued rules for the use of derivatives. ...
How to Safeguard Your Firm from Regulatory Action
A recent SEC settlement with Interactive Brokers underscores the need for true commitment to compliance. Guidepost Solutions’ Megan Prendergast Millard ...
Accounting for Loss Contingencies – “Hindsight is 20/20”
Ron Kral offers an analysis of the SEC’s recent order against BorgWarner, charged for making material misstatements by failing to ...
Have Compassion for Today’s Compliance Officer
Kroll’s Jordan Strauss, Mariellen Davies-DeMarco and Alyssa Heim discuss what they view as the most significant threats to good governance ...
Top 10 Anti-Corruption Developments of the 2010s
Morrison & Foerster’s James Koukios and Amanda Aikman examine 10 ways in which the anti-corruption compliance landscape changed dramatically in ...
Impacts of COVID-19 on Shareholder Meeting Season and Reporting
Given the far-reaching effects of the coronavirus pandemic, shareholder meeting season this year is far from business as usual. BDO’s ...
FinCEN Guidance: Crypto Firms Take Notice
Trading regulations on CVCs are due for a refresher course from FinCEN in light of recent penalties against a P2P ...
Getting to the Bottom of Whistleblower Complaints
Whistleblowing is on the rise and may gain further traction from recent stories in the news, increasing the burden on ...
The Shoe Drops on Theranos’ Former CEO and COO
Criminal Indictment Filed Charging Fraud The fallout continues for Elizabeth Holmes and Sunny Balwani, respectively the CEO and COO of ...
