Risk & Compliance

Capital Markets

At-the-Market Offerings: A Good Option When Volatility Is High

An at-the-market program is a good way to diversify a company's capital-raising options, especially now.

Brian Hirshberg and Chirag Naidu
July 7, 2020
Regulation

U.S. Tech Companies Decline Hong Kong Data Requests

Hong Kong’s controversial new security laws require internet companies to provide user data and can order content deletion.
Auditing

Big Four Heading for Audit Shakeup in U.K.

The U.K.'s accounting watchdog has asked the firms to submit a plan by Oct. 23 for separating their audit and consulting businesses.
Governance

SoftBank Shuns Call for Board Oversight of Vision Fund

Elliot Management wants the group to create a subcommittee to supervise the fund’s investment process.
Legal

Cisco Sued for Discrimination Based on Caste

The state of California alleges two Cisco managers harassed a fellow Indian-American employee because he comes from India's lowest caste.
The Cloud

Microsoft Pauses Advertisements on Facebook, Instagram Globally

The company is concerned over the content that runs next to its ads.
Applications

Telegram to Return $1.2B to ICO Investors

The messaging startup agreed to return the funds to settle charges that its digital asset offering was an unregistered sale of securities.
Regulation

Alexion Fined $21M in Foreign Corruption Probe

The SEC says the biotech firm made improper payments to Turkish and Russian officials to secure favorable treatment for its main drug.
Credit

Watchdog Warns of ‘Significant’ PPP Fraud Risk

The GAO says "minimal" underwriting standards left the $670 billion small business rescue program vulnerable to fraud.
Regulation

Novartis Settles U.S. Bribery Charges

The pharma giant will pay more than $346 million to settle charges that it bribed doctors to prescribe their drugs.
Regulation

Fed Clamps Down on Bank Capital Distributions

The regulator is seeking to “ensure large banks remain resilient despite the economic uncertainty" from the coronavirus pandemic.
Regulation

Tuesday Regulatory Briefing: Supreme Court Puts Limits on SEC Penalties

The NYSE pushes for direct listing changes; stress tests incorporate the pandemic; eurozone banks borrow record amounts; and more.
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