All United States articles – Page 219
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ArticleSEC subpoenas Mattel in accounting probe
Mattel announced it has received a subpoena from the Securities and Exchange Commission seeking documents related to a previously disclosed investigation that had uncovered accounting errors.
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ArticleCCO Q&A: Managing compliance in the FinTech space
Compliance Week discusses with Shannon Duncan, CCO and director of operations at registered investment adviser Blooom, the many unique challenges of doing compliance in the complex, ever-evolving FinTech space.
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ArticleRegulatory events coming this spring
Check out information on upcoming events from such regulators as the SEC, FINRA, CFPB, and more.
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ArticleCoronavirus impact: How tech, medical, retail industries are responding
Surrounded by uncertainty, the coronavirus outbreak has quickly catapulted high on the list of hot risk topics for business leaders everywhere.
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ArticleDisruptions caused by coronavirus affecting global supply chain
The burgeoning coronavirus outbreak not only sent markets crashing on Monday, it also put a spotlight on companies whose supply chains have been severely disrupted by the ongoing crisis.
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ArticleWhat’s next for Wells Fargo? Bank, execs still in crosshairs
Wells Fargo will pay $3 billion to resolve civil and criminal penalties with the DOJ and SEC related to its long-running fake accounts scandal, but the embattled bank—and its former executives—are far from out of the woods.
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ArticleWells Fargo to pay $3B to resolve fake account scandal
The Department of Justice and Securities and Exchange Commission on Friday assessed total civil and criminal penalties of $3 billion against Wells Fargo & Co. and its subsidiary, Wells Fargo Bank, in the aftermath of its fake account scandal.
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ArticleResurgent BIPA more than second fiddle to CCPA?
The California Consumer Privacy Act seems to be in the spotlight lately, but the Illinois Biometric Information Privacy Act should not be overlooked.
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ArticleDiageo to pay $5M for disclosure failures
Alcohol producer Diageo has agreed to pay $5 million to resolve charges brought against it by the SEC for disclosure failures, due to weaknesses in its internal disclosure processes.
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ArticleReports: Bieber, Twitter’s Dorsey among 10.6M affected by MGM Resorts hack
Pop star Justin Bieber and Twitter CEO Jack Dorsey were among 10.6 million MGM Resorts guests to have their personal information exposed in a data breach last year, according to multiple reports.
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ArticleDOJ antitrust official defends compliance credit initiative
A high-ranking member of the Department of Justice’s Antitrust Division addresses a recent policy change that evaluates corporate compliance programs as a potential leniency factor in antitrust cases.
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Former Alstom, Marubeni execs face FCPA charges in bribery scheme
The Department of Justice unsealed an indictment against three more individuals for their role in a multi-year, multi-million-dollar foreign bribery scheme and related money-laundering scheme in Indonesia.
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ArticleTreasury sanctions Rosneft subsidiary for Venezuelan ties
The Department of the Treasury’s Office of Foreign Assets Control has sanctioned a subsidiary of Russian state-run oil company Rosneft for operating in the oil sector of the Venezuelan economy.
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CCOs face SEC charges over conflicts of interest
Two chief compliance officers—one former, one current—are facing charges from the SEC as part of a lawsuit filed against a California-based investment advisory firm over failure to disclose financial conflicts of interest.
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ArticleSEC: Potential impact of coronavirus on audit quality
The SEC and PCAOB have issued a joint statement updating their recent conversations with audit firm leaders on audit quality oversight challenges in China, including the potential impact of the coronavirus on financial disclosures and audit quality.
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ArticleTax planning opportunities for 2020 lead to potential tax savings
Grant Thornton has released guidance on tax planning for both public and private companies to help them get started by asking the right questions.
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ArticleWhistleblowers finding system stacked against them
Are whistleblowers getting the short end of the stick? A recent case highlights one way in which the process for government rewards might be perceived as unfair.
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ArticleSen. Gillibrand floats agency to oversee U.S. privacy
Senator Kirsten Gillibrand (D-N.Y.) has introduced legislation to create a “Data Protection Agency” in the United States in order to oversee and enforce federal privacy mandates.
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SeaWorld Entertainment to pay $65M in shareholder class action
SeaWorld Entertainment disclosed in a recent regulatory filing it has reached a $65 million settlement to resolve a class-action lawsuit over allegations investors were misled about the impact of the 2013 documentary film Blackfish.
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ArticleAntitrust Division remarks on changes to model corporate plea agreement
The DOJ’s Antitrust Division last year quietly updated language contained in its “Model Annotated Corporate Plea Agreement,” as it applies to cooperation. Recent remarks provide more color around those changes.