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 ...
Tag: SEC
Looking Forward: Corporate Enforcement in a Biden Administration
With Biden’s inauguration around the corner and additional political appointments on the horizon, what can corporate compliance officers and in-house ...
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 ...
The Herbalife FCPA Enforcement Action
Consider the Herbalife FCPA enforcement action a case study in why multiple redundancies are important. Unless the whole of the ...
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 ...
Novartis: Corruption Across the Globe
Swiss pharmaceutical giant Novartis has recently been on the receiving end of two significant enforcement actions: the first for violations ...
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 ...
COVID-19 and Working from Home: Enforcement Implications
Eversheds Sutherland partners with Smarsh to focus on enforcement actions in key areas that are already presenting significant challenges to ...
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