Regulatory & compliance archive

JVs: making a case for active due diligence and continuous monitoring

Jun 28, 2015

10 min read

With the economic environment supporting nearly $3.5 trillion in M&A activity last year, some corporations may now be considering...

Regulatory & compliance

For employers, medical marijuana poses legal thicket

Jun 28, 2015

By Juliette Fairley

5 min read

A lawsuit filed by the American Civil Liberties Union (ACLU) in November 2014 could set a new precedent pertaining to employers...

Regulatory & compliance

Ombuds programs: creating a culture of trust rather than compliance

Jun 16, 2015

By David Bogoslaw

13 min read

In one of the final episodes of Mad Men, Joan Harris gets some invaluable advice that helps her navigate an uncomfortable...

Regulatory & compliance

PCAOB report will buoy investor confidence in audit process, says CFA Institute

Jun 02, 2015

By Matthew Scott

3 min read

CFA Institute's director of financial reporting policy, Matt Waldron, says the Public Company Accounting Oversight Board’s (PCAOB)...

Regulatory & compliance

False claims lawsuits by whistleblowers against health care firms on the rise

May 26, 2015

By Abigail Caplovitz Field

3 min read

Health care industry executives are very concerned about whistleblowers based on an intensive roundtable and survey recently...

Regulatory & compliance

FCPA enforcement by Justice Department lags SEC’s so far this year

May 20, 2015

By Abigail Caplovitz Field

3 min read

FCPA enforcement by the Department of Justice has gotten off to a slow start in 2015. As of May 18, the DoJ had not resolved an...

Regulatory & compliance

Outspoken Republican SEC commissioner Gallagher to resign

May 14, 2015

By Adam Brown

2 min read

SEC commissioner Daniel Gallagher, an outspoken critic of Dodd-Frank, is to resign, heralding a transformation at the regulator...

Regulatory & compliance

Class action lawsuits fueled by regulators, says PwC study

Apr 15, 2015

By Matthew Scott

5 min read

Increased enforcement actions by the SEC and other regulatory agencies will likely fuel a rise in securities class action lawsuits...

Regulatory & compliance

Companies face new basis for securities fraud

Mar 30, 2015

By Abigail Caplovitz Field

5 min read

With its recent decision in Omnicare v. Laborers District Council Construction Industry Pension Fund, the Supreme Court put...

Regulatory & compliance

GE’s 10-K reboot opts for more forward-looking approach

Mar 17, 2015

By David Bogoslaw

4 min read

General Electric has begun to revolutionize its 10-K filing much like it has overhauled its proxy statements over the last few...