Citi unit settles compliance systems case
Citigroup Global Markets has agreed to pay an $850,000 fine to settle allegations its compliance systems and procedures were...
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Regulatory & compliance archive
Limit environmental fine disclosures, lawyers say
Law firm Shearman & Sterling has backed regulators’ efforts to simplify corporate disclosure rules – and has called for companies...
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Protecting seniors: Mixed reviews for Finra’s rule changes
Mutual fund and insurance industry groups have welcomed but pressed for changes to the latest regulatory initiative aimed at...
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SEC sees flurry of staff changes
The SEC has announced a series of changes among the ranks of its senior officials, including a new chief accountant and the...
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Board’s audit committee plays key role in company audits
Audit committees are responsible for oversight of a company’s financial statements and evaluating the integrity of the financial...
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SEC proposes mandatory hyperlinks in company filings
The SEC has proposed a new amendment that would require public filers to include hyperlinks to exhibits (or documents) in their...
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Reaching new heights: looking back, moving forward
The Society for Corporate Governance (formerly the Society of Corporate Secretaries and Governance Professionals) celebrated its...
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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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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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