Risk & Compliance

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.

Drew Bernstein, Marcum Bernstein & Pinchuk
May 26, 2020
Fraud

Aviron Pictures Founder Accused of $25M Fraud

The SEC says William Sadleir defrauded a BlackRock fund by using money it had invested in Aviron for personal expenses including a Beverly Hills mansion.
Risk Management

Insurers Float Pandemic Coverage Plan

The proposed federal program would protect businesses against financial losses from future pandemics.
Risk Management

The Case for a Partnership Between Trade Credit Insurers and the U.S. Government

Lack of support for the trade credit industry means eliminating a safety net that keeps many businesses going.
COVID-19

Trump Administration Unveils Deal to Make COVID-19 Drugs in U.S.

The $354 million project is designed to reduce the country's reliance on drugs and pharmaceutical ingredients from foreign manufacturers.
Ethics

Former KPMG Auditors Charged With Exam Cheating

The three auditors agreed to suspensions for violating auditor integrity rules by improperly sharing answers to internal training tests.
Coronavirus

Moderna Stock Soars on COVID Vaccine Results

Interim data from a Phase 1 study showed Moderna's vaccine candidate stimulated an immune response against the virus in people.
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.
Regulation

Morningstar Settles Conflict of Interest Charges

The $3.5 million settlement is a rare enforcement action against a ratings agency over conflicts.
The Economy

Households’ Money Problems Started Back in March

About 13% of adults reported that they lost a job or were furloughed in March or the beginning of April this year.
Regulation

SEC Charges Two Companies Over Misleading COVID-19 Claims

The regulator said the companies made misleading claims over fever and blood tests.
COVID-19

Democrats Release Coronavirus Relief Bill

The bill, which includes payroll assistance and aid to state and local governments, faces a chilly reception in the Senate.
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