Compliance Tip of the Day: COSO Objective 3 – Control Activities
December 1st Deadline to Adopt Executive Compensation Clawback Policies — The Consumer Finance Podcast
Quality Of Earnings: Making The Most Of M&A Transactions
Podcast: ESMA Report: Undue Pressure on Companies
Podcast: Private Funds Update: The UK Stewardship Code 2020
Innovation in Compliance Episode 12: How ESG Factors will Change Compliance with J.R. Lowry
New Revenue Recognition Standard-Part V, What does it all mean?
Everything Compliance-Episode 12
FCPA Compliance and Ethics Report-Episode 145-SEC Enforcement of the FCPA, Part II
Last week, the SEC issued this 71-page concept release to rethink the definition of “foreign private issuer” and determine which companies should get the benefits of reporting under the FPI reporting framework. Here’s the...more
Key Takeaways - - A return to traditional enforcement priorities is likely forthcoming under the new administration, with a shift away from creative and aggressive enforcement toward more “bread and butter” matters. -...more
For those involved in corporate governance, securities law disclosures, or sustainability regulation, you are likely familiar with the European Sustainability Reporting Standards (the “ESRS”) and their 1,100+ data points, at...more
The U.S. Securities and Exchange Commission (SEC) voted to halt its defense of the climate disclosure rules introduced under the leadership of former SEC Chair Gary Gensler....more
The U.S. Securities and Exchange Commission (SEC) drastically reduced its accounting and auditing enforcement activity in fiscal year 2024, the final year of Gary Gensler’s administration, ending two consecutive years of...more
The House of Lords Financial Services Regulation Committee (FSR Committee) published a report on the Financial Conduct Authority's (FCA's) proposal to publicise enforcement investigations, in the spirit of "naming and...more
In December 2021 the Financial Accounting Standards Board (“FASB”) and the International Accounting Standards Board (“IASB”) released their proposed amendments to their accounting standards that will require buyers of...more
In Governor Murphy’s January 14, 2020 State of the State address, the first-term governor promised to propose, in the coming weeks, reforms to the State’s ethics laws, financial disclosures, and pay-to-play laws. The Governor...more
On April 27, 2018, the Securities Industry and Financial Markets Association (SIFMA), the U.S. Chamber of Commerce and Nasdaq, along with certain technology and biotechnology groups, released a policy paper titled “Expanding...more