All Blog post articles – Page 8
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Blog post
Los Angeles sues Weather Channel app, IBM over location data
The City of Los Angeles has filed a lawsuit against the operator of the Weather Channel smartphone app—an IBM subsidiary—for “covertly mining the private data of users and selling the information to third parties.”
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SEC fines company over non-GAAP prominence issue
Still on its soap box over non-GAAP reporting, the SEC issued an enforcement action against home security company ADT focused on problems with prominence.
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Waters: Shutdown is jeopardizing financial markets
As she assumes leadership of the House Financial Services Committee, Rep. Maxine Waters (D-Calif.) is arguing that the ongoing government shutdown is harming the SEC and the integrity of U.S. financial markets.
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TRON hires its first head of compliance
David Labhart, a former supervisory attorney with the U.S. Securities and Exchange Commission, has joined TRON as the blockchain network's first head of compliance to help navigate its interaction with regulatory agencies and other financial authorities around the world.
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GPB Capital appoints chief compliance officer
GPB Capital Holdings has appointed Michael Cohn, who was formerly with the Asset Management Unit of the SEC’s Enforcement Division, as managing director and chief compliance officer.
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BDO acquires Global Trade Strategies, Lootok
Accounting and advisory firm BDO USA announced the separate acquisitions of customs and international trade regulation consulting firm Global Trade Strategies and crisis management company Lootok.
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Comment letters show SEC forced restatement on ASC 606
After a 15-part comment letter exchange with the SEC over its compliance with new revenue recognition rules, Kingsway Financial Services opted to restate.
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PCAOB report gives Deloitte its lowest deficiency rate
Deloitte Touche’s recently published 2017 audit inspection report reflects the lowest deficiency rate the firm has ever earned.
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Wells Fargo elects new board member
Wells Fargo & Company has elected Wayne Hewett to its board of directors. Additionally, Karen Peetz has decided that she will not stand for re-election and will retire as a director at the company’s 2019 Annual Meeting of Shareholders.
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Department of Justice closes FCPA probe into Ciena
Telecommunications company Ciena disclosed in its latest annual report that the Department of Justice advised the company that it has decided not to file any charges against it in connection with a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.
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N.Y. State Pension Fund scrutinizes executive pay
The New York State Common Retirement Fund has reached agreements with Microsoft, CVS, Macy’s, TJX, and Salesforce.com to reexamine their executive pay policies.
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NYDFS to get new leadership
New York Governor Andrew Cuomo has announced the nomination of Linda Lacewell to be superintendent of the state’s Department of Financial Services.
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Brokers, banks launch new equities exchange
A group of nine leading retail broker-dealers, banks, and financial services firms have agreed to launch a new equities exchange, MEMX, or Members Exchange.
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Study: Audit costs on rise again in 2017
The latest analysis of audit and non-audit fees shows audit fees paid by public companies crept upward in 2017 for the fifth straight year.
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Professional Bank Services offers financial training option
Financial education firm Professional Bank Services announced the launch of bankED, an online training option for meeting the financial industry’s annual regulatory and policy-driven education requirements.
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OCC names new head of enterprise risk management
The Options Clearing Corporation, the world's largest equity derivatives clearing organization, recently appointed two new senior leaders who will play key roles as the OCC transitions to its future risk management and clearing systems.
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Gateway Mortgage Group appoints new chief risk officer
Gateway Mortgage Group, a full-service mortgage company, has named Steven Patrick as its new chief risk officer.
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Lincoln Financial Group names general counsel
Lincoln Financial Group has named Leon Roday as executive vice president and general counsel, effective as of Dec. 14.
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Vanderbilt Financial Group names new chief compliance officer
Investment firm Vanderbilt Financial Group announced the promotion of Steve Howe to the position of chief compliance officer.
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OCIE: Mitigating the risks of electronic messaging systems
Registered investment advisers will want to pay attention to some recent observations shared by the Office of Compliance Inspections and Examinations following an examination initiative it conducted that offers some key insights for firms to consider to strengthen their supervisory, compliance, and risk-management practices related to the use of electronic ...