Are you in compliance?

Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.


Status message

Start your free, no obligation 5-day trial to continue exploring with full access.

SEC Sweep Rounds Up Corporate Insiders for Late Filings

Joe Mont | September 11, 2014

A Securities and Exchange Commission enforcement sweep has resulted in charges and fines against 28 officers, directors, and other shareholders for failing to promptly report required information about their holdings and transactions in company stock.  Six publicly-traded companies were charged for contributing to filing failures by insiders or failing to report their insiders’ filing delinquencies. Among those agreeing to settlements were Brown Brothers Harriman, The Royal Bank of Scotland Group, and Starwood Hotel & Resorts.

The enforcement initiative focused on two types of ownership reports that are intended to aid investors as they evaluate whether the holdings and...

Read this single article for $49, or click the subscribe button below to review subscription options.

Enjoy unlimited access to thousands of articles, browse five years of digital magazines, qualify for reduced admission to events, and more.