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Risk Management
3 Ways Finance Is Armoring Up for a Future of Disruption
Finance leaders are breaking down silos, improving planning methodologies, and upgrading tech tools to safeguard their businesses.
By
Alessio Lolli
| August 15, 2022
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Jay Clayton
Risk & Compliance
SEC Fines, Disgorgement Hit $3.9B in 2018
The agency "continues to be extremely successful in its efforts to deter bad conduct and effectively remedy harm to investors."
By
Matthew Heller
| November 5, 2018
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Risk & Compliance
More Issuers Will Qualify as a ‘Smaller Reporting Company’
Amendments to the SRC rules will allow about 1,000 additional companies to qualify for scaled-down disclosure requirements.
By
Vincent Ryan
| June 29, 2018
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Technology
How to Manage Cyber-Whistleblower Risk
Companies should pay specific attention to risks arising from the increasingly common whistleblower complaints regarding data breaches and cybersecurity.
By
Brian Fleming and William Barry
| March 8, 2018
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Risk & Compliance
SEC Chairman Seeks Proxy Inquiry
Jay Clayton seems to want to pay as much attention to corporate prerogatives as he does to shareholder demands.
By
David Katz
| November 8, 2017
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Risk & Compliance
SEC Endorses Simplification of Disclosure Rules
The commission is seeking to help investors make informed choices "without imposing unnecessary burdens of time and money on issuers."
By
Matthew Heller
| October 12, 2017
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Risk & Compliance
SEC Eases Compliance with Pay Ratio Rule
Despite new guidance on how to calculate the ratio, questions as to the rule's usefulness persist.
By
David McCann
| September 26, 2017
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Technology
SEC Discloses 2016 Hack of EDGAR System
The commission says cybercriminals obtained access to nonpublic information and may have used it to make illicit trades.
By
Matthew Heller
| September 21, 2017
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Regulation
Chamber Urges SEC to Nix Auditor Disclosure Rule
The Public Company Accounting Oversight Board’s proposal would spawn confusion and liability, according to the U.S. Chamber of Commerce.
By
David Katz
| August 16, 2017
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Regulation
A Vote of Confidence for the PCAOB?
SEC Chairman Jay Clayton praises James Doty’s decision to stay on while the PCAOB starts to fill four vacant posts.
By
David Katz
| August 14, 2017
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Risk & Compliance
Trump’s SEC Pick Jibes with Deregulatory Agenda
Hester Peirce's views on the DOL Fiduciary Rule and the JOBS Act match those of SEC Chairman Jay Clayton.
By
David Katz
| July 19, 2017
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Risk & Compliance
SEC Chair Says Disclosure Burden Excessive
Increased disclosure "may render alternatives for raising capital, such as the private markets, increasingly attractive to companies," Jay Clayton says.
By
Matthew Heller
| July 12, 2017
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Risk & Compliance
Lawyer to Head SEC Corporate Finance Unit
New SEC chief Jay Clayton names Silicon Valley attorney William Hinman to lead the critical division that oversees public company filings.
By
Matthew Heller
| May 10, 2017
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Risk & Compliance
Senate Confirms Jay Clayton as SEC Chair
The lawyer says he will be tough on "bad actors" but a Democrat calls him “one of Wall Street’s most loyal guardians.”
By
Matthew Heller
| May 3, 2017
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Revenue Recognition
In Accounting Swan Song, SEC’s White Urges Convergence
Outgoing SEC Commissioner Mary Jo White encourages FASB and IASB to continue collaboration.
By
David Katz
| January 6, 2017
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Risk & Compliance
Trump Names Wall Street Lawyer to Head SEC
Jay Clayton, who has spent decades defending large banks, would become another Trump appointee with longstanding Wall Street ties.
By
Matthew Heller
| January 4, 2017
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