As WPP Grew, FCPA Violations Followed. Then Came SEC Enforcement.
WPP plc grew in to the world's largest advertising agency, in part, by acquiring thousands of subsidiaries. While it found ...
Tag: Securities and Exchange Commission (SEC)
A Reckoning Is Coming for Those Who Overlook the “S” in ESG
The SEC is exploring new possible mandates around workforce disclosures. That may prove a tall order for businesses in the ...
In Regulating the Crypto Wild West, Is the SEC Imposing Order or Grabbing Land?
Increased regulation of cryptocurrencies by the Securities and Exchange Commission (SEC) appears imminent. But details, scope and timing are up ...
Doing Battle on (At Least) Two Fronts: What Happens When Multiple Regulators Engage in Parallel Enforcement Efforts?
When multiple regulators bring enforcement actions, information gathered in civil proceedings is often used in subsequent criminal trials. But there ...
Changing Audit Firms: 7 Steps to Streamline Your Auditor Transition
Most companies change audit firms eventually, but the process isn't easy and can present many challenges during and after the ...
Companies Say They’re Serious About DEI. So Why Are This Year’s 10-Ks So Short on Detail?
Most companies aren't including DEI and other workforce data in the human capital disclosure sections of their 10-Ks. A recent ...
Periodic Reporting for Public Companies in 2021: What Lies Ahead
The SEC has already or may yet update its periodic reporting requirements on a number of fronts. Most of these ...
SEC’S Examinations Division Issues Risk Alert on Review of ESG Investing
Washington D.C. (April 9, 2021) — The SEC’s Division of Examinations today issued a Risk Alert to highlight observations from recent exams ...
We Asked the SEC and Others About the Impact of Standardized ESG Reporting. The Answers Were Complicated.
With the SEC poised to take action on ESG compliance, companies are at an impasse: There’s no clear direction on ...
SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
Washington D.C. (March 4, 2021) — The Securities and Exchange Commission today announced the creation of a Climate and ESG ...
SEC Division of Examinations Announces 2021 Examination Priorities
Washington D.C. (March 3, 2021) — The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, ...
Prepare Now to Comply with SEC’s Updated MD&A and Related Financial Disclosure Requirements
The SEC's updated MD&A rules will bring about key changes in financial disclosures, streamlining existing disclosure requirements. In adopting final ...
