All United States articles – Page 206
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Article
Colleen Dorsey: The pragmatist
Colleen Dorsey’s experience as counsel for Land O’Lakes has taught her what goes into the role of successful CCO.
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Article
Stephen C. King: The intrepid investigator
In an effective, disarming style, this Top Mind is using investigations to guide compliance, not just club noncompliance.
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Stephanie Davis: The culture converter
Leading a team effort to weather the scandal caused by “Dieselgate” is just part of the path forward envisioned by Volkswagen Group of America Chief Ethics and Compliance Officer Stephanie Davis.
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Article
SEC charges GT Advanced Technologies with fraud
GT Advanced Technologies is in trouble with the SEC for misleading shareholders about its ability to provide sapphire glass to Apple for its iPhones.
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Article
SEC proposes new disclosures for acquisitions, dispositions
The SEC has proposed steps to improve the information investors receive regarding the acquisition and disposition of businesses.
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Article
Citing misconduct in procurement, Kraft will restate
Kraft Heinz will restate nearly three years of financial results after determining employee misconduct in procurement caused a net $208 million misstatement in product costs.
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Article
A legacy in cowboy boots
Former CFTC Commissioner Bart Chilton, who died last month, struck more a figure of a rock star than a regulator.
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Article
New compromise in SEC, Elon Musk battle
A new proposal to combat Tesla CEO Elon Musk’s bad behavior has some at the SEC shaking their heads after Musk breached last year’s SEC agreement.
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Podcast
Scott Sullivan on compliance lessons from news
Scott Sullivan, former chief compliance officer at Flowserve, explains to columnist Tom Fox how he incorporated the publicized misdeeds of other companies into his compliance training program.
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Article
Investors don’t mind non-GAAP in CD&A; they want clarity
Lack of clarity in how companies use non-GAAP measures to calculate executive compensation prompted investors to petition the SEC for change.
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Article
Wynn Resorts fined $35M for mishandling sexual misconduct complaint
The Massachusetts Gaming Commission on April 30 imposed a $35 million fine on Wynn Resorts and requires it to meet a series of license conditions, including the appointment of an independent monitor.
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Article
Chesapeake Utilities names chief accounting officer
Chesapeake Utilities has appointed Michael Galtman as chief accounting officer. He will report directly to Executive Vice President and Chief Financial Officer Beth Cooper.
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Article
Butterball names chief risk officer
Turkey producing company Butterball has promoted Suzanne Griffin to the newly created role of chief risk officer, in addition to her current roles as senior vice president and general counsel. Griffin’s appointment now aligns the company’s risk management initiatives across all departments, the company announced.
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Article
SEC suspends trading for Bitcoin Generation
The Securities and Exchange Commission has temporarily suspended trading for cryto currency market operator Bitcoin Generation while it looks into concerns about information on the marketplace on which investors are relying.
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Article
Enforcement actions against accountants on the decline
Accountants and auditors are getting a lighter touch from enforcement authorities, according to an analysis that shows actions dropped significantly from 2017 to 2018.
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Article
CFTC proposes to amend derivatives clearing organization regulations
The Commodity Futures Trading Commission on April 29 issued a proposed rule to amend certain regulations that apply to derivatives clearing organizations (DCOs) under Part 39 of the CFTC’s regulations. Part 39 implements the statutory core principles for DCOs.
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Article
Investors ask SEC to revise non-GAAP rules on comp disclosure
Non-GAAP reporting is obscuring executive compensation disclosures in proxy statements, investors say, and they are asking the SEC to revise its rules.
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Article
SEC charges compliance officer in ticket resale scam
The SEC has charged a CCO with perpetuating a previously charged scheme run by his cousin that involved stealing millions of dollars from investors.
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Article
First-quarter reports add lease assets, liabilities
First-quarter reports reflecting new lease accounting rules are beginning to trickle into the market, adding billions in assets and liabilities to balance sheets.
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Podcast
Brian Beeghly on defining ethical leadership
Brian Beeghly, former chief compliance officer at Johnson Controls, explains to columnist Tom Fox the steps taken in designing a leadership model in the wake of an FCPA investigation.