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Leadership
Naming An Interim CFO Has Its Benefits
Appointing an interim CFO need not be avoided at all costs, according to a new study.
By
Vincent Ryan
| August 5, 2022
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Mergers & Acquisitions
SEC Could Reclassify SPAC Warrants And Hold Up New Filings: Report
Warrants could soon be considered liabilities instead of equity for accounting purposes.
By
Vincent Ryan
| April 13, 2021
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Social Media
SEC Sends a Message to Social Media Stock Promoters
Commission suspends trading in an over-the-counter stock, SpectraScience, that is being "pumped" on social media sites.
By
Vincent Ryan
| February 11, 2021
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Risk & Compliance
SEC Sues Ripple Over Sales of XRP Digital Assets
Ripple's CEO says the company will fight the suit, calling it "an attack on the entire crypto industry and American innovation."
By
Matthew Heller
| December 23, 2020
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Risk & Compliance
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.
By
Vincent Ryan
| October 19, 2020
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Corporate Finance
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."
By
CFO Staff
| September 25, 2020
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Risk & Compliance
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.
By
Vincent Ryan
| August 7, 2020
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Technology
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."
By
Vincent Ryan
| July 20, 2020
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Risk Management
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.
By
Vincent Ryan
| June 23, 2020
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Risk & Compliance
Avoiding the COVID-19 Wave of Securities Litigation
What might event-driven securities litigation during this period look like?
By
Vincent Ryan
| June 11, 2020
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Risk & Compliance
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.
By
Vincent Ryan
| May 6, 2020
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Investor Relations
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.
By
Vincent Ryan
| April 23, 2020
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Risk & Compliance
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.
By
David McCann
| February 25, 2020
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Risk & Compliance
The SEC Falsely Accused Me of Fraud
A CFO speaks publicly of his four-year ordeal battling accounting fraud charges.
By
Gregory Law
| February 19, 2020
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Payments
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.
By
Vincent Ryan
| January 22, 2020
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Risk & Compliance
Flurry of SEC Cases Disclosed
With its fiscal year-end looming, the SEC disclosed charges and settlements against seven different organizations in two days.
By
Vincent Ryan
| September 27, 2019
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