- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: A small army of SEC officials attended the annual AICPA conference last week, offering all manner of advice to financial reporting executives struggling to comply with external reporting rules. One subject: how to achieve better disclosure with fewer words. “We are aware there are some registrants that seem to ...
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While companies await results of the SEC’s ongoing review of its disclosure regime (hint: do not hold breath), they can just as well try the same at home. Creating a disclosure committee, cutting redundancy in 10-K risk factors and MD&A sections, spotlighting material information, and using charts and graphs are ...
A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
Regulations are sure to be rolled back under President Donald Trump, but the question is which regulations, and how much? Is your organization as prepared to respond when regulations are loosened as it was when they were tightened?
