United States
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ArticleWedbush to pay more than $8.1M for improper handling of ADRs
Wedbush Securities will pay more than $8.1 million to settle charges for the improper handling of “pre-released” American Depositary Receipts.
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SEC seeking comment on ways to harmonize private securities offering exemptions
The SEC is requesting public comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections.
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SEC finalizes change to auditor independence rules
The SEC has finalized its revision of auditor independence rules to change the threshold around lending relationships with clients that would raise concerns.
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Congress shows new resolve to combat shell companies
The United States seems poised to finally tackle issues surrounding shell companies and their often-opaque beneficial ownership structures.
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More cheating charges at KPMG: SEC fines firm $50M
The SEC has fined KPMG for not only allegations of cheating on regulatory inspections, but also new charges of numerous auditors cheating on training exams.
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ICBC to pay more than $42M for improper handling of ADRs
Industrial and Commercial Bank of China Financial Services will pay more than $42 million to settle charges with both the Securities and Exchange Commission and the Department of Justice for the improper handling of “pre-released” American Depositary Receipts.
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Breaking up is dumb to do
Is splitting up big tech companies a cure for their outsized influence? Probably not.
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States continue to fill federal data privacy void
While Congress largely remains mired in hearings and pre-election posturing, states are increasingly putting their own scrutiny on large tech companies and their data collection policies.
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Software problems exacerbate lease compliance
Nearing the end of their second quarter observing new lease accounting rules, many public company accounting departments are still cursing their software.
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Canon, Toshiba to pay $5M for antitrust law violations
Canon and Toshiba will pay $2.5 million each to settle federal charges regarding violations of the Hart-Scott-Rodino Act during an acquisition deal in 2016.
