Securities and Exchange Commission
Sen. Warren’s Attack on Mary Jo White ‘Unfair,’ Former SEC Inspector General Says
H. David Kotz defends White as a “groundbreaking” chair in getting companies to admit wrongdoing.
Summer Rule-Making to Address Climate Change
The White House is trying to fill as many regulatory gaps as possible before Barack Obama leaves office.
Global Corruption Enforcement Becomes Focus of U.S. Foreign Policy
U.S. corporations and listed companies would do well to redouble their efforts to comply with the Foreign Corrupt Practices Act.
CFO, Son Accused of $1M Insider-Trading Scheme
Investment banker allegedly provided his father with nonpublic information about pending deals involving clients.
SEC’s Chief Accountant Signals End to Convergence Efforts
“There is virtually no support to have the SEC mandate IFRS for all registrants,” James Schnurr tells accountants.
Ex-Wilmington Trust CFO Accused of Disclosure Fraud
The Securities and Exchange Commission charges ex-executives with failing to accurately disclose past-due loans during the financial crisis.
SEC’s Pot Calling the Kettle Black?
The securities regulator has deficiencies in some financial controls and weak cybersecurity measures, says the GAO.