Timesavers' guide to Shareholder Services Association's annual conference
The Shareholder Services Association (SSA) is celebrating its 70th anniversary at its annual conference on July 19-22 at the...
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Regulatory & compliance archive
Addressing key concerns on Brexit: A US perspective
The results of last week’s vote for the UK to exit the European Union has reverberated across the global capital markets, causing...
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SEC cracks down on non-GAAP measures in earnings filings and proxies
Get ready for much more strict regulatory oversight of the use of non-GAAP (GenerallyAccepted Accounting Principles) in quarterly...
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Firms’ internal controls under heavier scrutiny from SEC
The cease-and-desist order and $1 million penalty the SEC imposed on Morgan Stanley Smith Barney (MSSB) last week for inadequate...
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Financial rewards hamper internal wrongdoing investigations
Last week, the SEC announced its second-largest whistleblower award in the five years the program has existed. A former employee...
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Weak controls key factor in majority of fraud cases worldwide, KPMG finds
Even as governments around the world ramp up their coordination efforts with each other and their enforcement actions to combat...
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Coming to America: An interview with John Wilcox
‘I think the US is becoming more comfortable with a more open, more transparent and more communications-based relationship with...
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Sodali and Morrow join forces to form new global IR firm
Consultancy Sodali has acquired Morrow & Co to create Morrow Sodali Global, a global firm with more than 600 clients across 30...
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Hong Kong-listed firms may have to return excess cash to shareholders
A group of investors, including BlackRock and publisher and activist David Webb, are campaigning for Hong Kong’s Securities and...
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VW preliminary settlement raises larger compliance issues
Volkswagen’s preliminary settlement with the Environmental Protection Agency (EPA) today leaves unanswered questions about efforts...
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