Risk & Compliance

Capital Markets

SEC Sends a Message to Social Media Stock Promoters

Commission suspends trading in an over-the-counter stock, SpectraScience, that is being "pumped" on social media sites.
Legal

Robinhood Faces Lawsuits Ahead of 2021 IPO

A user's suicide and the app's temporary restrictions on trading GameStop shares have generated numerous lawsuits.
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.”
Credit

Loan System Bugs Holding Up PPP Loans: AICPA

In a letter to the SBA this week, the AICPA said legitimate loan applications are being denied acceptance because they are being incorrectly flagged.
Legal

Former WageWorks CFO, CEO Settle Accounting Case

Ex-CEO Joseph Jackson and ex-CFO Colm Callan allegedly made false statements that resulted in the improper recognition of $3.6 million in revenue.
Auditing

Audit Chairs Give 2020 Audits Mixed Reviews

In discussions with the PCAOB, audit committee chairs cited areas of auditor strengths and weaknesses.
Fraud

Cryptocurrency Crime Fell Last Year

A report by CipherTrace finds that losses from cryptocurrency theft fell 57% in 2020.
Strategy

Anheuser-Busch Pulls Budweiser Super Bowl Ads

The beer giant said it would redirect funds to vaccine outreach.
COVID-19

Merck Drops Out of COVID-19 Vaccine Race

Merck's announcement that it is shelving its two vaccine candidates "marks a shocking setback for one of the most storied vaccine makers."
Analytics

Data and AI Belong At the Heart of ESG Initiatives

The primary cause of ESG failures is data: lack of data, lack of standards, and lack of understanding of how to use data.
Investor Relations

CFOs Faced Late Activism Surge, ESG Demands in 2020

Fifty-seven new campaigns launched in Q4, pressuring the management teams of Intel, Public Storage, ExxonMobil, and The Walt Disney Company, among others.
Risk Management

COVID-19: The Risk Management Part Is Unfinished

What actions should senior risk managers and executive management undertake to deal with the remainder of the crisis and its aftermath?
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