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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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Risk & Compliance
Three Charged in $4.7M Insider Trading Case
The SEC says David Schottenstein and two of his close friends traded in advance of announcements involving companies with which his family was associated.
By
Matthew Heller
| January 7, 2022
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Risk & Compliance
SEC Allows Apple Shareholder Vote on NDAs
An activist investor has proposed that Apple's board review the company's use of non-disclosure agreements and other concealment clauses.
By
Matthew Heller
| December 23, 2021
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Risk & Compliance
SEC Issues Risk Disclosure Guidance for Chinese Issuers
“Recent events have highlighted the risks associated with investing in companies that are based in or that have the majority of their operations" in China.
By
Matthew Heller
| December 22, 2021
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Risk & Compliance
Nikola Fined $125M for Investor Fraud
The SEC says the electric vehicle maker misled investors about key aspects of its business, including its technology and a partnership with General Motors.
By
Matthew Heller
| December 21, 2021
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Risk & Compliance
SEC Proposes Tighter Insider Trading Rule for Execs
The proposal addresses the safe harbor for CFOs and other corporate executives who make trades as part of a pre-announced portfolio management plan.
By
Matthew Heller
| December 15, 2021
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Risk & Compliance
SEC Chief Outlines Possible SPAC Reforms
“Functionally, the SPAC target IPO is akin to a traditional IPO. Thus, investors deserve the protections they receive from traditional IPOs."
By
Matthew Heller
| December 9, 2021
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Risk & Compliance
American Renal Execs Charged With Manipulating Revenue
The SEC says the dialysis provider improperly recognized “topside” adjustments in revenue to hit targets for two key financial metrics.
By
Matthew Heller
| December 7, 2021
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Regulation
SEC Finalizes Rules on Chinese Issuers
The commission will use the rules to apply a law that allows it to delist issuers for failing to open their books to the PCAOB.
By
Matthew Heller
| December 3, 2021
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Risk & Compliance
Pharma CFO Charged With Insider Trading
Usama Malik allegedly gave nonpublic information about an Immunomedics drug to his then-girlfriend while he was the firm's CFO.
By
Matthew Heller
| December 3, 2021
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Risk & Compliance
SEC Tightens Guidance on ‘Spring-Loaded’ Options
The guidance applies to how public companies value stock options awarded to executives ahead of the release of market-moving news.
By
Matthew Heller
| November 29, 2021
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Risk & Compliance
Ex-ProPetro CEO Fined Over Undisclosed Perks
The SEC says ProPetro and former CEO Dale Redman failed to disclose it had reimbursed him for more than $400,000 in personal and travel expenses.
By
Matthew Heller
| November 23, 2021
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Risk & Compliance
McKinsey Fined $18M Over Compliance Failures
The SEC says the consulting firm failed to set appropriate boundaries between its consultants and an affiliate that makes investments for them.
By
Matthew Heller
| November 19, 2021
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Risk & Compliance
SEC Enforcement Activity Drops 15% in 2021
The decline in actions against public companies and subsidiaries reflects the continuing impact of the pandemic and the change of leadership at the SEC.
By
Matthew Heller
| November 17, 2021
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Risk & Compliance
McKinsey Consultant Accused of Insider Trading
Puneet Dikshit allegedly profited from inside information he had obtained while advising Goldman Sachs about a potential acquisition.
By
Matthew Heller
| November 10, 2021
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Regulation
PCAOB Revamped With Four New Members
“With these additions to the board, the PCAOB will have the leadership to meet the mission given to it by Congress.”
By
Matthew Heller
| November 9, 2021
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