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CFOs On the Move: Week Ending May 20
One Concern, LaunchDarkly, Volvo Trucks, Ulteig, Foursquare, Onto Innovation, Truist, Hydrow, Myers Industries, Evolv Technology
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Lauren Muskett
| May 20, 2022
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Risk & Compliance
Fed Regional Chiefs Resign Amid Ethics Outcry
The trading activities of Robert Kaplan and Eric Rosengren raised questions about whether they were "acting for personal profit" as Fed policymakers.
By
Matthew Heller
| September 28, 2021
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Risk & Compliance
Fed’s Powell Orders Review of Ethics Rules
The move follows the disclosure that Dallas Fed President Robert Kaplan made multiple trades worth $1 million or more last year in individual stocks.
By
Matthew Heller
| September 17, 2021
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Risk & Compliance
Burford Capital CEO’s Wife Steps Down as CFO
Elizabeth O'Connell is taking another job at the litigation finance firm amid investor concerns over her independence.
By
Matthew Heller
| August 16, 2019
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Talent Management
Note to Directors: It’s Who You Know that Counts
New research finds that companies will pay a premium for a well-connected board.
By
David Katz
| March 27, 2017
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Risk & Compliance
Investment Advisor Charged Over Bond Issues
The SEC says Atlantic Asset Management failed to disclose its investment of more than $43 million in tribal bonds would benefit insiders.
By
Matthew Heller
| December 16, 2015
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Risk & Compliance
Five Accountants Charged With Audit Violations
The SEC alleges CPA Peter Messineo owned stakes in companies that the firm he worked for was auditing.
By
Matthew Heller
| December 14, 2015
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Risk & Compliance
RBC Loses Appeal of $75M Class-Action Award
The Delaware Supreme Court upholds a verdict that found RBC Capital liable for misleading a client it was advising in a merger deal.
By
Matthew Heller
| December 1, 2015
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Risk
PE Firm Fined $10M Over Disclosure Violations
Private equity firm Fenway Partners failed to disclose some of the fees a portfolio company paid to a consulting firm affiliate, according to the SEC.
By
Matthew Heller
| November 3, 2015
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Risk & Compliance
Merrill Can’t Ditch Suit Over Advice to Zale
A Delaware judge finds investors may sue Merrill for failing to disclose a potential conflict during Zale's sale to Signet Jewelers.
By
Matthew Heller
| October 2, 2015
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Risk & Compliance
Guggenheim Settles Disclosure Case for $20M
The SEC alleges the investment firm failed to disclose a conflict of interest arising out of a client's loan to a Guggenheim executive.
By
Matthew Heller
| August 10, 2015
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Risk & Compliance
BlackRock Sanctioned $12M Over Conflict of Interest
BlackRock failed to eliminate or disclose a conflict pertaining to a portfolio manager's dealings in the energy sector.
By
Matthew Heller
| April 20, 2015
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Risk & Compliance
Fed Too Soft on Big Banks: Warren
Controversial audio tapes of a New York Fed meeting lead Elizabeth Warren to call for a Congressional investigation.
By
Iris Dorbian
| September 29, 2014
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