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Employee Retention
78% of CFOs Say Quiet Quitting is a Problem: Weekly Stat
Strategies around talent recruitment and retainment are a principal focus for CFOs, according to a new study by CFO.
By
Adam Zaki
| February 1, 2023
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Securities and Exchange Commission
Cash Management
SEC Tries to Patch Money Market Rules
Higher minimum liquidity levels for prime funds could compress yields and drive away corporate cash.
By
Vincent Ryan
| March 8, 2022
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Risk & Compliance
What Gary Gensler’s Confirmation As SEC Chair Means For Crypto
He will be the first cryptocurrency policy and blockchain technology expert to take the reins at the SEC.
By
Vincent Ryan
| April 16, 2021
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Risk & Compliance
SEC Cautions On Celebrity SPACs
“Celebrities, like anyone else, can be lured into participating in a risky investment or may be better able to sustain the risk of loss.”
By
Lauren Muskett
| March 12, 2021
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Risk & Compliance
Robinhood Settles SEC Charges
The popular trading app agreed to pay $65 million over allegations of misleading customers and mishandling trades.
By
Lauren Muskett
| December 17, 2020
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Corporate Finance
Kaiser to Leave PCAOB; Chief Auditor to Replace Him
Megan Zietsman, chief auditor and director of professional standards of the PCAOB, will replace Jim Kaiser, who is retiring.
By
Vincent Ryan
| October 15, 2020
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Risk & Compliance
Morningstar Settles Conflict of Interest Charges
The $3.5 million settlement is a rare enforcement action against a ratings agency over conflicts.
By
Lauren Muskett
| May 15, 2020
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Disclosure
COVID-19 Highlights Need to Reset SEC Proposal on MD&A Disclosures
Now is not the time to eliminate important investor information. It is a time to enhance and improve some of the key sections of registrant filings.
By
Lauren Muskett
| May 5, 2020
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Regulation
SEC Planning to Loosen Auditor Independence Rules
On Monday, the SEC proposed changing the rules to keep auditor committees and auditors from spending time on "non-substantive" rule breaches.
By
Vincent Ryan
| January 2, 2020
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Risk & Compliance
SEC Proposal Protects Executives, Hamstrings Investors
Proposed rule changes would pressure proxy advisory firms to take a more management-friendly stance in their reports and vote recommendations.
By
David McCann
| November 6, 2019
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Regulation
RSM Charged by SEC with Violating Auditor Independence Rules
The accounting firm agreed to a $950,000 penalty and to engage an independent consultant to evaluate its current quality controls.
By
Vincent Ryan
| August 27, 2019
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Risk & Compliance
SEC Aims to Ease Disclosure Rules
The commission proposes a more principles-based, less-prescriptive approach to business description and risk factor disclosures.
By
David McCann
| August 9, 2019
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Risk & Compliance
Nomura to Pay Misled Bond Customers $25 Million
The SEC said traders made misleading statements and the bank failed to properly monitor them.
By
Lauren Muskett
| July 16, 2019
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Risk & Compliance
SEC Charges Bring Long Fraud Saga to a Close
Five years after GT Advanced Technologies went bankrupt, the company and its ex-CEO, facing overwhelming evidence, cop to SEC allegations.
By
David McCann
| May 8, 2019
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Human Capital
Investor Group Petitions for Better Exec Comp Disclosure
The investors want companies to better explain in proxies their use of non-GAAP metrics for determining executive compensation.
By
David McCann
| May 7, 2019
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Risk & Compliance
How to Blow the Whistle to the SEC
Becoming a whistleblower requires planning. For example, do you report the fraud internally first or go directly to the SEC?
By
Vincent Ryan
| April 30, 2019
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