All books-and-records violations articles
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Blog
SEC charges Stryker second time for FCPA violations
The SEC on Sept. 28 charged Stryker with violating the books and records and internal accounting controls provisions of the Foreign Corrupt Practices Act, the second time the SEC has brought an FCPA action against the medical device company.
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Blog
Citigroup will pay $10.5 million for internal controls failures
The SEC says Citigroup has agreed to pay $10.5 million in penalties to settle two enforcement actions involving its books and records, internal accounting controls,and trader supervision.
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Blog
The SEC’s summer reading list is not for the faint of heart
Robert Herz reviews the SEC’s recent accounting and enforcement releases, which reveal familiar patterns in corruption, as well as a commitment by the SEC to commence enforcement actions on any accounting and reporting violations it finds.