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 ...
Tag: SEC
Trends in White Collar Crime Enforcement: Looking Back on 2021 and Ahead to 2022
2022 will probably be a lot like 2021, only more so. With most key federal positions filled, the Biden Administration ...
With Salvadoran Adoption of Bitcoin, Firms Must Navigate Uncharted Waters
In September 2021, El Salvador became the first country to adopt bitcoin as legal tender. It will likely not be ...
How the SEC Shifted Green
The Securities and Exchange Commission (SEC) has already sent businesses more climate-related communications this year than it did over the ...
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 ...
Regulatory Oversight for Cryptocurrency?
What Crypto Exchangers and Administrators Need to Know U.S. regulators have recently joined with an international coalition of tax enforcement ...
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 ...
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 ...
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 ...
Intelligize: No-Action Letter Citation – Analyzing Excluded Shareholder Proxy Proposals
More than half of all shareholder proxy proposal exclusions allowed by the SEC are based on Rules 14a-8(i)(7) and 14a-8(i)(10), according ...
Whitepapers: Impact of Revenue Recognition Standards on Public Companies
Public companies based in the U.S. are choosing the less onerous (but riskier) of two possible methods for complying with ...
Recent FCPA Cases: Lessons for Compliance Personnel
Historic Corruption and Its Modern-Day Impacts Anne Eberhardt, CFE, CAMS and Senior Director at Gavin/Solmonese, discusses two notable cases involving ...
