All Securities and Exchange Commission articles – Page 38
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ArticleSenate extends Gary Gensler’s SEC term to 2026
The Senate voted Tuesday to extend Gary Gensler’s term as chair of the Securities and Exchange Commission through 2026, cementing his control of the top regulator of U.S. financial markets.
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Former acting SEC enforcement head to join Simpson Thacher & Bartlett
Marc Berger, most recently acting director of the SEC’s Division of Enforcement, will join Simpson Thacher & Bartlett in June as a partner in its litigation department.
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ArticleCompliance involvement crucial to consistent ESG disclosures, SEC says
SEC examiners are focusing on whether registered firms’ ESG disclosures align with their investment practices.
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VideoVideo: Kudos to whistleblower chief Jane Norberg on successful SEC tenure
Aaron Nicodemus applauds outgoing SEC whistleblower chief Jane Norberg for “revolutionizing” the program and the agency, while Kyle Brasseur laments Facebook’s ethical bungling of its recent data leak.
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ArticleSEC awards $50M to two whistleblowers in second-largest payout
A pair of tipsters were awarded over $50 million by the SEC in the agency’s second-largest payout under its successful whistleblower program.
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ArticleSenate confirms Gary Gensler as SEC chairman
The Senate on Wednesday confirmed the nomination of Gary Gensler to replace Jay Clayton as chairman of the Securities and Exchange Commission. Aaron Nicodemus explores what it means for ESG, cryptocurrency, and more.
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ArticleCompliance lessons, regulatory fallout from Archegos meltdown
There are plenty of unanswered questions following the recent meltdown of family office Archegos Capital Management—and plenty of compliance lessons to be learned, writes Aaron Nicodemus.
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ArticleSEC whistleblower head Jane Norberg to depart
The head of the Securities and Exchange Commission’s whistleblower program, Jane Norberg, will leave her post later this month.
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ArticleAccounting considerations for companies merging with SPACs
The Securities and Exchange Commission recently reinforced its focus on the importance of corporate governance and financial reporting by special purpose acquisition companies (SPACs).
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ArticleIn the battle over whistleblowers, money matters
Is there competition among international regulators with courting whistleblowers? If so, writes Martin Woods, the path to victory is obvious: monetary incentives.
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ArticleEx-GPB Capital CCO avoids prison in SEC theft case
A former SEC examiner who used insider information about an ongoing fraud investigation to obtain the chief compliance officer job with private equity firm GPB Capital has been sentenced to nine months of home confinement.
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ArticleSEC seeking comment on new foreign audit oversight rules
The SEC is seeking comment on new submission and disclosure rules related to foreign public companies that are not allowing U.S.-based auditors to review their financial statements.
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ArticleSPACs are big-risk, big-reward investments that can give compliance fits
Once a moribund and little-used method to bring a private company public, SPACs dominated the market in 2020 and the first three months of this year. With the trend have come new risks for compliance.
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ArticleToyota discloses ‘possible anti-bribery violations’ to U.S. authorities
Toyota said in a regulatory filing it has “reported possible anti-bribery violations related to a Thai subsidiary” to U.S. enforcement agencies.
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ArticleCFTC joins SEC in climate risk push
The Commodity Futures Trading Commission announced the formation of a “Climate Risk Unit” to support the agency’s efforts to determine the role of derivatives in addressing climate-related risks.
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ArticleOch-Ziff ex-CFO fined $35K for role in bribery case
The former chief financial officer at then-Och-Ziff Capital Management Group has agreed to pay $35,000 in a settlement with the SEC for his role in the firm’s notorious bribery scheme.
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ArticleJohn Wood Group earmarks $197M for global bribery settlement
Scotland-based multienergy services company John Wood Group is in “advanced stage” settlement talks with authorities in the United States, the United Kingdom, and Brazil regarding legacy bribery and corruption investigations.
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ArticleSEC’s Crenshaw throws down gauntlet: Large fines are good fines
The tide has officially turned, corporate America. The SEC is returning to a previous position of measuring the agency’s success by the size and number of the fines it levies. Time to get your houses in order.
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ArticleGary Gensler (SEC), Rohit Chopra (CFPB) nominations forwarded to Senate
A Senate committee Wednesday voted in favor of President Joe Biden’s nomination of Gary Gensler to lead the SEC but deadlocked on his choice of Rohit Chopra (pictured) to helm the CFPB.
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ArticleSEC charges AT&T, three execs with disclosure violations
The Securities and Exchange Commission has accused AT&T of selectively disclosing material nonpublic information regarding poor smartphone sales to research analysts, in violation of the regulation that requires such information to be made public.