Knowledge of a potential sale eluded Andeavor LLC's internal controls team, causing the firm to violate securities law.
Studies find no significant fall-offs in reporting quality over partners’ five-year tenures and little or no evidence of the benefits of "fresh looks."
World Acceptance's former Mexico subsidiary paid more than $4 million in bribes to Mexican officials, said the SEC.
Founder Shaukat Shamim "drummed up interest in [YouPlus] by providing false information about its financial performance and customer base."
The NYSE pushes for direct listing changes; stress tests incorporate the pandemic; eurozone banks borrow record amounts; and more.
What might event-driven securities litigation during this period look like?
Once the dust finally settles from the COVID-19 crisis, the last thing issuers will want is to face an inquiry and possible enforcement action by the SEC.
In this moment, communication to investors in earnings calls should be more focused on future viability rather than historic profitability.
Regulators and standard setters have increasingly turned up the heat on PE and VC managers over the past several years.
A CFO speaks publicly of his four-year ordeal battling accounting fraud charges.
Grayscale offers its services as an asset manager to accredited investors seeking to invest money in bitcoin as a security.
With its fiscal year-end looming, the SEC disclosed charges and settlements against seven different organizations in two days.
