Disclosure

Disclosure

CFTC Urges Changes to Climate Risk Disclosure

Current rules have "not resulted in disclosures of a scope, breadth, and quality to be sufficiently useful to market participants and regulators."

Matthew Heller
September 10, 2020
Regulation

Under Armour CFO Warned of Possible SEC Action

The sneaker company says David Bergman received a Wells Notice indicating he is facing an enforcement action over its accounting practices.
Disclosure

AmTrust, Ex-CFO Fined for Improper Disclosure

The SEC says former finance chief Ronald Pipoly failed to properly disclose the company’s process for reporting management’s best estimate of loss reserves.
Disclosure

Argo Group Fined Over Perks to ‘Bon Vivant’ CEO

The SEC says the insurer failed to disclose more than $5.3 million in perks that it provided to former CEO Mark Watson from 2014 through 2018.
Regulation

Senate May Vote on Oversight of Chinese Issuers

A bipartisan bill could result in Chinese firms being delisted from U.S. exchanges if they do not submit their audit reports to U.S. regulators.
Disclosure

COVID-19 Highlights Need to Reset SEC Proposal on MD&A Disclosures

Now is not the time to eliminate important investor information. It is a time to enhance and improve some of the key sections of registrant filings.
Disclosure

IASB Floats Rule Changes on Acquisition Disclosures

The board believes companies should be required to provide more information about how their takeovers have performed.
Investor Relations

Anatomy of a Short Attack

The current conditions of the COVID-19 pandemic have created a perfect storm for companies that are subject to an attack by short-sellers.
Disclosure

Diageo Fined for ‘Overshipping’ to Meet Targets

The SEC says the liquor company misled investors that it was achieving growth in key performance indicators through normal customer demand.
Data Security

Media to Go Tech-Free in Data Release ‘Lockups’

The Trump administration says reporters' use of computers in secure lockup rooms can give high-speed traders a "head start" on market-moving news.
Disclosure

House Passes Bill to Close ‘8-K Trading Gap’

The current system that allows insiders to trade on information about a significant corporate event is "a total abuse of the public trust."
Fraud

Exxon Cleared in Landmark Climate Change Trial

A judge rejected New York state claims that Exxon misled investors about the potential costs of future climate regulations.
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