Tag: SEC

Consider the Herbalife FCPA enforcement action a case study in why multiple redundancies are important. Unless the whole of the ...

Ron Kral offers an analysis of the SEC’s recent order against BorgWarner, charged for making material misstatements by failing to ...

Kroll’s Jordan Strauss, Mariellen Davies-DeMarco and Alyssa Heim discuss what they view as the most significant threats to good governance ...

Swiss pharmaceutical giant Novartis has recently been on the receiving end of two significant enforcement actions: the first for violations ...

Morrison & Foerster’s James Koukios and Amanda Aikman examine 10 ways in which the anti-corruption compliance landscape changed dramatically in ...

Given the far-reaching effects of the coronavirus pandemic, shareholder meeting season this year is far from business as usual. BDO’s ...

Eversheds Sutherland partners with Smarsh to focus on enforcement actions in key areas that are already presenting significant challenges to ...

SEC extends conditional exemptions from reporting and proxy delivery requirements for public companies, funds and investment advisers affected by coronavirus ...

Given the rapidly expanding use of collaboration platforms, like Cisco Webex, RingCentral, Slack, Zoom and Microsoft Teams, as well as ...

Comment letters from the SEC can come out of the blue, require a lot of work involving executive leadership and ...

How can I possibly certify that 100 percent of my third parties, including all customers and vendors, are 100 percent ...