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CFOs On the Move: Week Ending August 12
Axon, Sonos, JCPenney, New Relic, Revlon, Luckin Coffee, HYCU, Skillshare, Brinks, Performance Food Group, Jane, Kirkland’s
By
Lauren Muskett
| August 12, 2022
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Risk & Compliance
Three Charged in $4.7M Insider Trading Case
The SEC says David Schottenstein and two of his close friends traded in advance of announcements involving companies with which his family was associated.
By
Matthew Heller
| January 7, 2022
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Risk Management
COVID-19 Costs Insurance Sector $44 Billion
Initial projections of more than $100 billion in losses now look "improbable," in part due to COVID exclusions in many P&C policies.
By
Matthew Heller
| January 5, 2022
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Risk & Compliance
Taxicab Lender Manipulated Its Valuation and Touted Stock Illegally: SEC
Medallion Financial and its chief operating officer allegedly directed two separate schemes to inflate the company’s stock price.
By
Vincent Ryan
| January 5, 2022
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Risk & Compliance
SEC Allows Apple Shareholder Vote on NDAs
An activist investor has proposed that Apple's board review the company's use of non-disclosure agreements and other concealment clauses.
By
Matthew Heller
| December 23, 2021
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Risk & Compliance
SEC Issues Risk Disclosure Guidance for Chinese Issuers
“Recent events have highlighted the risks associated with investing in companies that are based in or that have the majority of their operations" in China.
By
Matthew Heller
| December 22, 2021
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Risk & Compliance
Thieves Nab $100M in Pandemic Relief Funds
The Secret Service says funds from CARES Act programs including the PPP were stolen by individuals and organized criminal networks worldwide.
By
Matthew Heller
| December 22, 2021
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Risk & Compliance
Nikola Fined $125M for Investor Fraud
The SEC says the electric vehicle maker misled investors about key aspects of its business, including its technology and a partnership with General Motors.
By
Matthew Heller
| December 21, 2021
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Risk & Compliance
Walmart Sued for Illegal Toxic Waste Disposal
California officials allege the retail giant unlawfully disposes of more than one million items of hazardous waste each year in the state.
By
Matthew Heller
| December 21, 2021
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Risk & Compliance
Ex-McDonald’s CEO Repays $105M Severance Deal
The company had sued Steve Easterbrook for deceiving it into making the payout when it fired him for sexual misconduct.
By
Matthew Heller
| December 16, 2021
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Risk & Compliance
SEC Proposes Tighter Insider Trading Rule for Execs
The proposal addresses the safe harbor for CFOs and other corporate executives who make trades as part of a pre-announced portfolio management plan.
By
Matthew Heller
| December 15, 2021
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Risk & Compliance
Large Employers Hesitant About Vax Mandate
“The majority of employers are really in wait-and-see-mode" amid legal challenges to the Biden administration's COVID-19 vaccine rule.
By
Matthew Heller
| December 14, 2021
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Risk & Compliance
FDIC Leaders Clash Over Bank Merger Policy
A move by two Democrats on the FDIC board to launch a review of merger policy indicates “a remarkable breakdown in trust among leaders" of the agency.
By
Matthew Heller
| December 10, 2021
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Risk & Compliance
SEC Chief Outlines Possible SPAC Reforms
“Functionally, the SPAC target IPO is akin to a traditional IPO. Thus, investors deserve the protections they receive from traditional IPOs."
By
Matthew Heller
| December 9, 2021
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Risk & Compliance
American Renal Execs Charged With Manipulating Revenue
The SEC says the dialysis provider improperly recognized “topside” adjustments in revenue to hit targets for two key financial metrics.
By
Matthew Heller
| December 7, 2021
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Regulation
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.
By
Matthew Heller
| December 3, 2021
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