Disclosure

Disclosure

Capital One CEO Fined for Antitrust Violations

The FTC says Richard Fairbank failed to comply with requirements of the Hart-Scott-Rodino Act when he acquired Capital One shares in 2018.

Matthew Heller
September 2, 2021
Regulation

Materiality Question Dogs SEC’s ESG Disclosure Project

Will the SEC adhere to the concept of materiality when formulating new climate risk disclosure rules?
Regulation

SEC to Tighten Disclosure Rules for Chinese Firms

“The disclosures of U.S.-listed Chinese companies have not met the threshold of disclosure for other companies headquartered in the U.S."
Capital Markets

Memo to SPACs: The Bar Has Been Raised

The SEC’s quandary is trying to solve a problem of incentives with a toolkit consisting exclusively of disclosure and enforcement actions.
Disclosure

Getting a Jump on Climate Change Disclosures

CFOs should start planning their communications strategies and assessing climate-related business risks as soon as possible.
Auditing

SEC Unveils Rule on Oversight of Chinese Issuers

The regulator indicated how it will implement a law aimed at delisting Chinese companies that do not meet U.S. auditing standards.
Disclosure

Chamber Urges SEC Caution on Climate Disclosure

Stepping up enforcement efforts through the new climate and ESG task force should not take precedence over rulemaking, the Chamber says.
Disclosure

Time for CFOs to Influence the SEC’s Climate Effort

Companies should seize the opportunity to engage with the SEC to help craft efficient and responsive climate change disclosure rules.
Legal

AT&T Charged With Improper Calls to Analysts

The SEC says three IR executives selectively disclosed market-moving information to analysts to avert a third straight quarterly earnings miss.
Regulation

New SEC Task Force to Police Climate Disclosure

“Climate risks and sustainability are critical issues for the investing public and our capital markets,” Acting Chair Allison Herren Lee says.
Regulation

SEC Urges Heightened Disclosure During Volatility

Companies should address “the effects of a potential ‘short squeeze’ due to a sudden increase in demand for your stock.”
Disclosure

Clover Health Shares Rally After Short-Seller’s Report

Hindenburg Research faulted the insurer for not disclosing it was under investigation by the U.S. Department of Justice.
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