Tag: SEC

The SEC packed a month’s worth of major developments into just a few weeks — and compliance teams are sorting ...

The “uplift” process to meet PCAOB standards can be burdensome and time-consuming, requiring two or three years of compliant audited ...

Examiners will assess whether policies and procedures are implemented and enforced, not just whether they exist on paper

Extended deadlines give banks time to create access packages for indirect participants without requiring them to build infrastructure

Solicitation is viewed broadly to include calls, emails, research distribution, conference sponsorships and investor meetings in the US

With shutdowns increasingly likely, registrants should prepare now for future delays

The threshold for securities disclosure is very different from the “statistically significant” standard used by most scientists and researchers

The National Association of Corporate Directors published an authoritative guide in 2009 on risk governance, and the principles outlined therein ...

The SEC’s new and proposed rules allow companies to update and simplify their disclosure requirements as part of the SEC’s ...

Many public companies are in the process of preparing their annual 10-K reports for the SEC, and for these firms, ...

Many companies these days are implementing automated due diligence systems, and it’s no wonder why: the government’s expectations in terms ...

Rogue traders may be uncommon, but the risks they pose are serious. Jim DeLoach writes on the importance of tone ...