All Securities and Exchange Commission articles – Page 34
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ArticleESG matters have financial reporting implications now
While the possibility of SEC regulation mandating additional ESG disclosures remains a hot topic, the potential effects of ESG matters on a company’s financial accounting and reporting are not a future consideration.
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ArticleStudy: How COVID-19 has affected public company financials
Disruptions to normal operations and shifts in work environments as a result of the COVID-19 pandemic caused an increase in late filings and changes to controls, according to new research from Audit Analytics.
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ArticleSurvey: New SEC marketing rule leads investment adviser compliance concerns
Implementing the SEC’s new “marketing rule” for investment advisers tops the list of concerns among chief compliance officers in the industry, according to new research.
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ArticleEx-Cavco Industries CCO charged with accounting control failures
The former CFO and chief compliance officer of Cavco Industries has been charged by the SEC with internal accounting control failures and for misleading the company’s auditor regarding an insider trading matter.
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ArticleSEC fines telecom Pareteum $500K for overstating revenue
New York City-based telecom Pareteum Corp. will pay $500,000 to settle SEC charges it committed fraud by overstating its revenue by approximately $42 million over six quarters and providing false information to auditors.
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ArticleKraft Heinz fined $62M in SEC accounting probe
Kraft Heinz agreed to pay $62 million as part of a settlement with the SEC for improper accounting that led to the restatement of several years of financial reporting.
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SEC charges CCO for role in TMG fraud scheme
Steven Wolfe, the former chief compliance officer of investment adviser Tellone Management Group, has been charged by the SEC for his role in a fraudulent scheme to hide information from investors.
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ArticleSEC seeking info on risks, rewards of digital engagement practices
The SEC launched its first foray against risks posed by stock trading platforms like Robinhood with a request for information about how digital engagement practices affect the investment strategies of retail investors.
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ArticleSEC sanctions 8 over email breaches
The Securities and Exchange Commission penalized eight firms across three separate actions for breaches of employee email accounts that exposed the personal information of thousands of customers in each case.
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ArticleCompliance officials to split $1M SEC whistleblower award
Three compliance practitioners received shares of a more than $1 million whistleblower award announced by the Securities and Exchange Commission.
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ArticleSEC fines Healthcare Services Group $6M over contingency reporting lapses
Healthcare Services Group agreed to pay $6 million as part of a settlement with the Securities and Exchange Commission for contingency reporting failures that led to accounting and disclosure violations.
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ArticleChallenge to SEC’s Bank Secrecy Act authority backed by ex-FinCEN leadership
A brokerage firm petitioning the Supreme Court to review the power of the SEC to enforce the Bank Secrecy Act has received support from two former officials of the primary agency tasked with overseeing the AML law.
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ArticleTwo PCAOB members resign ahead of SEC overhaul
Rebekah Goshorn Jurata and Megan Zietsman have announced they will resign, meaning the PCAOB could soon be left with one active member ahead of SEC plans to clean house at the audit regulator.
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ArticleSEC appoints Sanjay Wadhwa as enforcement deputy director
The SEC named veteran attorney Sanjay Wadhwa deputy director of its Enforcement Division. Wadhwa most recently managed 150 personnel as co-head of enforcement at the agency’s New York office.
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ArticlePearson fined $1M for misleading data breach disclosures
U.K.-based education company Pearson has agreed to pay $1 million as part of a settlement with the Securities and Exchange Commission for misleading investors regarding a 2018 data breach.
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ArticleExperts: Gary Gensler and the SEC are coming after cryptocurrencies
Many in the cryptocurrency space would prefer Gary Gensler and the SEC leave the sector to function without much regulation, but experts predict he’ll take a heavy-handed approach.
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Pactiv Evergreen nearing clearance from SEC in FCPA probe
Pactiv Evergreen said it has received indication from the SEC it will not face enforcement following an internal investigation launched last year into potential violations of the Foreign Corrupt Practices Act.
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ArticleSEC approval of Nasdaq board diversity proposal adds to nationwide momentum
The SEC approved rule changes proposed by Nasdaq that will put in place a new board diversity mandate and further require companies listed on Nasdaq’s U.S. exchange to make public disclosures regarding the composition of their boards.
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ArticleEx-Domino’s accountant settles insider trading charges
A former accountant at pizza chain Domino’s has agreed to pay $68,360 to settle charges of insider trading brought by the Securities and Exchange Commission.
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ArticleSeven things whistleblowers want compliance officers to know
Aaron Nicodemus explains what whistleblowers, their supporters, and advocates would like compliance officers who handle internal complaints to understand about the process from their side of the table.