Compliance

More Compliance Articles

• SEC Advised to Dial Back "Facebook Rule" for Small Cos.

  An SEC advisory committee recommends changing the 500-shareholder threshold for when private companies have to publicly share their financial information. February 1, 2012

• SEC Claws Back a CFO's Bonus for Alleged Fraud at a Subsidiary

  Clawbacks are becoming a more common mandate in SEC settlements. In the latest case, a finance chief will return $185,000 to his company. January 30, 2012

• SEC Hits Back at Court on Settlements

  The regulator's recent disputes with a federal judge over agreements with plaintiffs extend to a Milwaukee courtroom and an embezzlement case involving a former CFO. January 25, 2012

• The Tipping Point: High Court Applebee's Ruling Could Hike Payroll Costs

  A U.S. Supreme Court decision could present companies with the Herculean task of monitoring and tracking every task performed by every tipped employee, a trade association says. January 19, 2012

• Fiduciary Proposal Puts CFOs' Liability in Question

  The Department of Labor is revisiting a proposal that would change the definition of fiduciary. January 19, 2012

• SEC Charges Add to an Already Blemished Bio

  The regulator implies a former CFO's job description should have read: financial professional with extensive consulting, management, and prison experience. December 22, 2011

• Reducing the Cost of Retiree Health Care

  Last year's health-care law has given companies a new reason to cut back on their offerings. Those changes will usually be finalized in a courtroom. December 14, 2011

• Lessons Learned from the Frauds of 2011

  Several cases that were brought up or resolved in the past year should serve as warnings for companies as they continually improve their compliance programs. December 7, 2011

• Sorry, Friends

  Facebook, the giant social network, is castigated for serious privacy failings. December 5, 2011