Are issuers heeding SEC guidelines on clear writing?
If you glanced through the recent 341-page Regulation SK ‘concept release’ issued by the SEC, you probably missed it. But it’s...
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Regulatory & compliance archive
Transparency in financial restatements plunges
A new report finds US companies increasingly using a loophole in financial reporting to make ‘stealth’ financial restatements...
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More control over financial reporting seen from increased SOX spending
The continued investment in Sarbanes-Oxley (SOX) compliance has enabled organizations to create better systems for internal...
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Timesavers' guide to Shareholder Services Association's annual conference
The Shareholder Services Association (SSA) is celebrating its 70th anniversary at its annual conference on July 19-22 at the...
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Addressing key concerns on Brexit: A US perspective
The results of last week’s vote for the UK to exit the European Union has reverberated across the global capital markets, causing...
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SEC cracks down on non-GAAP measures in earnings filings and proxies
Get ready for much more strict regulatory oversight of the use of non-GAAP (GenerallyAccepted Accounting Principles) in quarterly...
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Firms’ internal controls under heavier scrutiny from SEC
The cease-and-desist order and $1 million penalty the SEC imposed on Morgan Stanley Smith Barney (MSSB) last week for inadequate...
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Financial rewards hamper internal wrongdoing investigations
Last week, the SEC announced its second-largest whistleblower award in the five years the program has existed. A former employee...
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Weak controls key factor in majority of fraud cases worldwide, KPMG finds
Even as governments around the world ramp up their coordination efforts with each other and their enforcement actions to combat...
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Coming to America: An interview with John Wilcox
‘I think the US is becoming more comfortable with a more open, more transparent and more communications-based relationship with...
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