All United States articles
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ArticleAudit fees level off in 2018, study shows
Public company audit fees remained virtually unchanged in 2018, according to the latest annual study by Audit Analytics.
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NAVEX Global: Top 10 compliance trends for 2020
A recent Webinar, and complementary report, from NAVEX Global offers a look at the top 10 risk and compliance trends for 2020.
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Will ExxonMobil’s victory in sanctions case mean more pushback?
ExxonMobil’s victory in a sanctions case before a federal court just might empower others in the regulated community to challenge the imposition of fines for alleged violations of sanctions regulations.
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Heartbreaker: SEC Commissioner Jackson to resign Feb. 14
Robert Jackson Jr., one of five commissioners at the Securities and Exchange Commission, confirmed Thursday his intention to resign from his post next month.
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Poll: U.S. companies want to respond to proxy advisor voting recommendations
According to a Willis Towers Watson survey, the majority of U.S. publicly traded companies would not remain silent if given the opportunity by the SEC to respond to proxy advisor voting recommendations.
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SEC bars former KPMG leader atop ‘chain of corruption’
The Securities and Exchange Commission has suspended a former KPMG leader from appearing or practicing before the SEC after he was convicted of a felony last year.
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Treasury finalizes rules impacting foreign investments in U.S.
The Treasury Department is disseminating two rules implementing the Foreign Investment Risk Review Modernization Act of 2018 to help balance national security with the importance of foreign investments in the U.S. economy.
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BlackRock: Climate change ‘defining factor’ in companies’ futures
Fund manager BlackRock announced several new initiatives with a focus on sustainable investing, including holding companies and boards more accountable where they are not making enough progress on sustainability-related disclosure.
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Tip sheet: 2020 priorities for accounting and audit regulators
With the new year under way, we highlight some focus areas of accounting and audit regulators—SEC, PCAOB, and FASB—that should be top of mind for boards of directors.
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Comments sought on draft vertical merger guidelines
The Federal Trade Commission and the Department of Justice’s Antitrust Division have jointly issued long-awaited draft guidelines concerning vertical mergers and are now seeking public comment.
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OFAC designates new sanctions against Iran’s metals industry
Sanctions compliance officers should be on alert following several new sanctions designated by the Office of Foreign Assets Control against Iran’s largest steel, aluminum, copper, and iron manufacturers.
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Dodd, Frank challenge SEC’s Regulation Best Interest
Former Sen. Christopher Dodd and former Rep. Barney Frank, along with other current and former members of Congress, filed an amicus curiae brief siding with state attorneys general in a lawsuit seeking to have Regulation Best Interest vacated.
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Top DOJ compliance official resigns; rejoins Morgan Lewis
Matt Miner, former deputy assistant attorney general of the DOJ’s Criminal Division who played a prominent role in the development of a range of significant compliance policy initiatives, will rejoin Morgan Lewis as a partner, the law firm has announced.
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SEC seeks to improve governance of public market data streams
Continuing its emphasis on disclosing conflicts of interest and boosting Main Street investors, the SEC seeks public input on a proposed order to modernize the National Market System.
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A modern, corporate-friendly SEC glides into 2020
There are a few clouds on the horizon as some on Capitol Hill wonder whether a purported concern for the “Main Street investor” is cloaking a deregulation initiative.
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Hot topics for 2019 year-end audits
As auditors get ready for year-end audits, internal controls and new accounting standards are on their radar.
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FTC strengthens orders in data security cases
Chief compliance officers seeking more guidance from the Federal Trade Commission on how the agency has improved its orders in data security cases will find helpful a recent blog post by Andrew Smith, director of the Bureau of Consumer Protection.
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‘Perennial’ risks comprise OCIE’s 2020 examination priorities
The SEC’s Office of Compliance Inspections and Examinations’ priorities in 2020 foster its risk-based approach and find room for both Main Street investors and innovation.
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DOJ enforcement priorities for 2020 include antitrust
Compliance officers need to step it up in 2020; a world of heightened risk means a world of heightened regulatory oversight.
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SEC’s 2020 priorities can be gleaned from 2019 trends
Companies would be wise to study the SEC’s annual enforcement report and avoid becoming one of the ever-increasing number of enforcement actions the Commission doles out yearly for misconduct.
