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Enforcement Actions › Penalties › Financial Statements

Barnea Jaffa Lande & Co.

Israel Securities Authority Pecuniary Sanctions: Enforcement Tool or Rights Violation?

Barnea Jaffa Lande & Co. on

The Israel Securities Authority (ISA) has recently begun to take a clearly more aggressive approach toward administrative enforcement. Originally, pecuniary sanctions were intended to provide a swift, proportional, and...more

Hanzo

Financial Data Compliance and Enterprise Information Archiving

Hanzo on

When it comes to making sure financial data is safe and meets compliance regulations, understanding the different regulatory bodies and how they affect your organization is a vital first step. Two of the most common...more

Faegre Drinker Biddle & Reath LLP

SEC Charges Texas School District and Former CFO with Fraud Related to Bond

Faegre Drinker Biddle & Reath LLP on

On March 16, 2022, the Securities and Exchange Commission charged Crosby (Texas) Independent School District (Crosby) and its former Chief Financial Officer, Carla Merka, with misleading investors in a $20 million municipal...more

Herbert Smith Freehills Kramer

SEC Charges Diageo for Violation of Known Trends MD&A Disclosure Requirements

Herbert Smith Freehills Kramer on

On Feb. 19, 2020, the SEC announced charges against Diageo plc, an alcoholic beverages company, arising out of its failure to make required disclosures of known trends with respect to alleged unsustainable overshipments of...more

Mayer Brown Free Writings + Perspectives

SEC Penalizes Issuer for Failure to Disclose Known Trends and Uncertainties

Mayer Brown Free Writings + Perspectives on

A U.S. reporting company that produces, distills and markets alcoholic beverages, such as vodkas, whiskeys, tequilas, gins and beer, and that has shares and American Depositary Shares listed on the London Stock Exchange and...more

Thomas Fox - Compliance Evangelist

Not Correctly Reporting Losses: An Internal Controls Failure

Thomas Fox - Compliance Evangelist on

A recent Securities and Exchange Commission (SEC) internal controls enforcement action drew my attention. It was not a Foreign Corrupt Practices Act (FCPA) enforcement action but it certainly does have implications for a...more

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