Risk & Compliance

Auditing

SEC Finalizes Rules on Chinese Issuers

The commission will use the rules to apply a law that allows it to delist issuers for failing to open their books to the PCAOB.

Matthew Heller
December 3, 2021
Fraud

Pharma CFO Charged With Insider Trading

Usama Malik allegedly gave nonpublic information about an Immunomedics drug to his then-girlfriend while he was the firm's CFO.
Bankruptcy

How to Make a Good Impression in Bankruptcy Court

How a debtor presents its cash flows and income to the judge influences whether it gets sufficient time for a chapter 11 reorganization.
Risk

Musk Warns SpaceX Employees of Bankruptcy Risk

Production issues involving the engine in the company's Starship reusable rocket threaten SpaceX's 2022 launch schedule.
Regulation

SEC Tightens Guidance on ‘Spring-Loaded’ Options

The guidance applies to how public companies value stock options awarded to executives ahead of the release of market-moving news.
Supply Chain

CFOs Battle Margin Pressures and Production Delays

Raising prices is only part of the solution to supply chain snarls and input cost inflation.
Credit

Banking Regulators Planning Crypto Guidance

The agencies will clarify "whether certain activities related to crypto-assets conducted by banking organizations are legally permissible."
Social Media

U.K. Regulator Orders Facebook to Sell Giphy

"We are protecting millions of social media users and promoting competition and innovation in digital advertising."
Legal

Ex-ProPetro CEO Fined Over Undisclosed Perks

The SEC says ProPetro and former CEO Dale Redman failed to disclose it had reimbursed him for more than $400,000 in personal and travel expenses.
Fraud

Who’s Blowing the Whistle?

Who’s behind all these disclosures of potentially illegal or illicit business activity? The SEC's annual whistleblower report provided some clues.
Legal

McKinsey Fined $18M Over Compliance Failures

The SEC says the consulting firm failed to set appropriate boundaries between its consultants and an affiliate that makes investments for them.
M&A

FTC Has ‘Concerns’ About Nvidia Deal to Buy Arm

The FTC's scrutiny comes amid "opposition from some big American tech companies that worry Nvidia will limit their access to Arm’s chip designs."
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People

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People

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IPOs

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