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Q&A: Mohit Daswani Preps ThoughtSpot to Go Public
“We just want to roll up our sleeves, not worry about who gets credit, and go build something great together.”
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Vincent Ryan
| January 27, 2022
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Gary Gensler
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
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
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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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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Regulation
PCAOB Revamped With Four New Members
“With these additions to the board, the PCAOB will have the leadership to meet the mission given to it by Congress.”
By
Matthew Heller
| November 9, 2021
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Regulation
Will the SEC Finally Approve a Tougher Clawback Rule?
A 2015 proposal, never adopted, would put the incentive-based compensation of other executive officers at risk.
By
Vincent Ryan
| October 11, 2021
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Regulation
Will the SEC Finally Approve a Tougher Clawback Rule?
A 2015 proposal, never adopted, would put the incentive-based compensation of other executive officers at risk.
By
Vincent Ryan
| October 7, 2021
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GAAP and IFRS
Two PCAOB Members Resigning
The departures of Rebekah Goshorn Jurata and Megan Zietsman come as the SEC weighs the appointment of an entire new board.
By
Vincent Ryan
| August 23, 2021
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Risk & Compliance
SEC Backs Nasdaq’s Boardroom Diversity Plan
The decision "marks a historic moment for advocates and investors who have been pushing for [more diversity] in corporate America’s higher ranks."
By
Matthew Heller
| August 10, 2021
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Risk & Compliance
New SEC Chief Aims to Tame Crypto ‘Wild West’
SEC Chair Gary Gensler says the industry is "rife with fraud" and if Congress doesn't act, "I worry a lot of people will be hurt."
By
Matthew Heller
| August 4, 2021
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Risk & Compliance
SEC to Tighten Disclosure Rules for Chinese Firms
“The disclosures of U.S.-listed Chinese companies have not met the threshold of disclosure for other companies headquartered in the U.S."
By
Matthew Heller
| July 30, 2021
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Risk & Compliance
SEC Taps New Jersey AG as Enforcement Chief
Gurbir Grewal "has the ideal combination of experience, values, and leadership ability to helm the Enforcement Division at this critical time.”
By
Matthew Heller
| June 30, 2021
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Corporate Finance
Gensler Ousts PCAOB Chair; Other Board Members to Follow
Besides removing William D. Duhnke III, the SEC said it intends to seek candidates to fill the other Board positions.
By
Vincent Ryan
| June 7, 2021
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Regulation
PCAOB Critics Call On Gensler to Clean House
"We do not believe the current Board members are up to the task of re-focusing the PCAOB on its core mission," says an investor group.
By
Vincent Ryan
| May 20, 2021
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Risk & Compliance
SEC Reviewing Rules for ‘Gamified’ Trading Apps
“If we don’t address this now, the investing public may shoulder a burden later,” SEC Chairman Gary Gensler says.
By
Matthew Heller
| May 6, 2021
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