Activision Settlement Highlights Where Companies Often Go Wrong With Whistleblowers
The SEC has long relied on whistleblowers to enforce securities law, often making it worth their while to the tune ...
Tag: SEC
Unpacking the SEC’s Executive Compensation Clawback Rule
The SEC has finalized its long-awaited clawback policy mandated by the Dodd-Frank Act, issuing final rules that are scheduled to ...
Top 10 Compliance Stories of 2022
The more things change, the more they stay the same. This time last year, we summarized the top 10 ESG ...
Oracle: FCPA Recidivist
Breaking down the FCPA allegations against technology company Oracle Corp. Unpacking Oracle FCPA Enforcement Action Oracle: FCPA Recidivist What’s in ...
Are You Ready for Stepped-Up Pay Vs. Performance Requirements in 2023 Proxy Season?
Most public companies will be required to disclose details about executive compensation starting with next year’s proxy statements, under rules ...
Time’s Almost Up: Are You Ready for the SEC’s New Marketing Rule?
The SEC’s marketing rule came into effect May 4, 2021. Since then, registered investment advisers (RIAs) have had an 18-month ...
Public Company Audit Inspections Are Coming. Will Your Company Be Affected by New Focus Areas?
Public companies could face a series of indirect ramifications related to updated focus areas for the nonprofit board that oversees ...
Recent SEC Charges Suggest CCOs Have Target on Their Backs
The SEC’s prosecution of chief compliance officers remains a fraught and controversial topic. A recent announcement of an enforced settlement ...
With Redefined Risks, GCs Must Redefine Their Role
New global research from Morrison & Foerster reveals that GCs want to be evaluated on how effectively they protect their ...
Can Regulators Keep Up With Innovation?
Disruptive technologies like AI, cryptocurrency, biometrics and blockchain have taken the world by storm, but fintech regulations have struggled to ...
Reading the Tea Leaves: FCPA Enforcement Trends Send Mixed Signals
Though it’s taken a while to gain steam, the Biden Administration’s approach to FCPA enforcement is becoming clearer. But as ...
CUBE Analysis: Lack of Regulatory Standardization Delays Meaningful Climate Action
A lack of global standardization for climate-related financial regulation has created a confusing, disconnected and easy to ignore cross-border compliance ...
