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 ...
Tag: SEC
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 ...
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 ...
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 ...
Common Pitfalls in Third-Party Due Diligence
5 Risky Mistakes Companies Make Third-party relationships result in a majority of FCPA resolutions and investigations. Dan Wendt, member at ...
Ericsson Agrees to Pay Over $1 Billion to Resolve FCPA Case
DOJ Office of Public Affairs (December 6, 2019) -- Telefonaktiebolaget LM Ericsson (Ericsson or the Company), a multinational telecommunications company headquartered ...
Regulators Catching Up with the Crypto Craze
The Risk to Investors Despite the proliferation of Bitcoin and other cryptocurrencies, financial regulators have been slow to introduce rules ...
