Disclosure

Regulation

SEC Charges Drug Firm with Reg FD Violations

In calls and emails, TherapeuticsMD shared material, nonpublic information about a new drug's likelihood of FDA approval with sell-side analysts.

Vincent Ryan
August 20, 2019
Disclosure

SEC Aims to Ease Disclosure Rules

The commission proposes a more principles-based, less-prescriptive approach to business description and risk factor disclosures.
Fraud

SEC Charges Bring Long Fraud Saga to a Close

Five years after GT Advanced Technologies went bankrupt, the company and its ex-CEO, facing overwhelming evidence, cop to SEC allegations.
Compensation

Investor Group Petitions for Better Exec Comp Disclosure

The investors want companies to better explain in proxies their use of non-GAAP metrics for determining executive compensation.
Disclosure

CEO Pay Ratio Rule Is ‘Disclosure by Soundbite’

New academic analysis pulls no punches, calling the ratio "lacking in accuracy, difficult to interpret, and incomplete."
Governance

Waning Trust in Corporate Leadership Brings a New Urgency to Transparency

The problem of waning trust in corporate leadership is bigger than a public relations issue. It can be linked directly to profit and worker productivity.
Regulation

SEC Accuses Four Firms of ICFR Deficiencies

The companies allegedly failed to remedy material weaknesses in their internal controls over financial reporting for seven to 10 consecutive years.
Fraud

Apple Supplier Accused of Lying About Contract

The ex-CEO of GT Advanced Technologies allegedly misled investors about the company's performance of an agreement to supply sapphire glass for iPhones.
Investor Relations

Shareholder Engagement Disclosures Shot Up in 2018

Appeasing investors with shareholder engagement disclosures was a significant trend this year: Equilar report.
Regulation

Executives Must Disclose Stock Hedging

The final rule from the SEC requires disclosure of policies that permit "the mitigation of the incentive alignment associated with equity ownership."
Risk & Compliance

Lesson from Nissan: Go the Extra Mile

When it comes to executive compensation reporting, err on the side of over-disclosure.
Fraud

Hong Kong Firm Fined $3M for Accounting Fraud

The SEC says Agria Corp. hid from investors a $17.5 million loss from the sale of its primary operating entity in China.
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