By Tammy Whitehouse2015-04-28T16:30:00
Companies that disclose control problems ahead of restatements get no pat on the back or other indicators of gratitude from investors, according to a recent academic study. On the contrary, they are more likely to face harsher consequences for their transparency than companies that provide no advance warning. More inside.
2016-03-29T15:00:00Z By Tammy Whitehouse
Image: A recent SEC action against a company for maintaining insufficient internal controls signals a new effort from federal authorities to hold companies to higher standards when it comes to internal control material weaknesses and significant deficiencies. “This is a case that doesn’t have a punchline,” says Tom Sporkin, a ...
2015-05-05T14:45:00Z By Joe Mont
Image: Compliance officers responsible for accurate books and records and effective internal control over financial reporting may be entering a brave new world of regulatory enforcement. The SEC is stepping up its use of administrative proceedings to impose strict liability on even relatively minor infractions of securities law. “The SEC ...
2025-07-07T17:15:00Z By Oscar Gonzalez
SEC Chair Paul Atkins pointed to the growth of tokenized shares as a key development reshaping private markets, suggesting the agency is preparing to update its rules to keep pace with new forms of digital asset trading and settlement.
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