Beware This Misstep With Share Buybacks
Knowledge of a potential sale eluded Andeavor LLC's internal controls team, causing the firm to violate securities law.
Audit Partner Rotation Delivers Few Benefits: Study
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."
SEC Charges Consumer Loan Company With FCPA Violation
World Acceptance's former Mexico subsidiary paid more than $4 million in bribes to Mexican officials, said the SEC.
Machine Learning Startup Was a Sham, Says SEC
Founder Shaukat Shamim "drummed up interest in [YouPlus] by providing false information about its financial performance and customer base."
Tuesday Regulatory Briefing: Supreme Court Puts Limits on SEC Penalties
The NYSE pushes for direct listing changes; stress tests incorporate the pandemic; eurozone banks borrow record amounts; and more.
Avoiding the COVID-19 Wave of Securities Litigation
What might event-driven securities litigation during this period look like?
Disclosures Amid COVID-19: “None of This Has Been Done Before”
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.
Virus Lays Bare Corporate Reporting Debate
In this moment, communication to investors in earnings calls should be more focused on future viability rather than historic profitability.
Private Equity & Venture Capital Valuations Draw Scrutiny
Regulators and standard setters have increasingly turned up the heat on PE and VC managers over the past several years.
The SEC Falsely Accused Me of Fraud
A CFO speaks publicly of his four-year ordeal battling accounting fraud charges.
Grayscale Bitcoin Trust Becomes An SEC Reporting Company
Grayscale offers its services as an asset manager to accredited investors seeking to invest money in bitcoin as a security.