Securities and Exchange Commission

  • The SEC turns up the heat on corporate audit committee chairs

    We all know that audit committee chairs of public companies have a big job. The Securities and Exchange Commission (SEC) recently sent a shot across the bow of all audit committee chairs in the form of enforcement actions against two of them. It's unusual for the SEC to put independent...

  • Many hats

    When it comes to corporate governance, one issue that continues to get a lot of attention is whether companies should have have the same person as both CEO and chair.

  • Cyber suits

    Businesses need to be prepared—as best as possible—for the escalating number of cyber breaches and the threat of resulting litigation.

  • Regulatory priority

    In many ways, 2014 was the Year of the Data Breach. That year saw cyber-events at the Home Depot, JPMorgan Chase and Sony Entertainment, and the trend followed into 2015, with healthcare providers and government agencies showing that they, too, are vulnerable to attack. All of the incumbent attention that...

  • Cybersecurity for medical devices

    The FDA’s recent Safety Alert regarding cybersecurity vulnerabilities in Hospira’s PCA3 and PCA5 Infusion Pump Systems has caused the in-house counsel at many medical device companies to pause and ask, “Are we ready?”

  • Traders will pay $30M to settle civil charges

    “Even those beyond our borders who trade on stolen nonpublic information and use complex instruments in an attempt to avoid detection will ultimately be caught,” Michael J. Osnato, chief of the SEC’s Enforcement Division’s Complex Financial Instruments Unit, said.

  • SEC freezes assets of Path America after filing civil suit

    The Securities and Exchange Commission (SEC) has frozen the assets of Path America in response to an alleged scheme to defraud investors trying to get U.S. residency.

  • SEC to audit committees: How skeptical are the skeptics?

    In July, 2015, the Securities and Exchange Commission (SEC) published for public comment a Concept Release (Release No. 33-9862) exploring the nature of communications between board audit committees and the company's external auditors, as well as the quality of the public disclosure describing the effectiveness of those communications. The release...

  • Corporate compliance officers: The new whistleblower

    Individuals who perform internal audit, compliance and legal functions for companies are on the front lines in the battle against fraud and corruption. They often are privy to the very kinds of specific, timely and credible information that can prevent an imminent fraud or stop an ongoing one.”

  • Combatting corruption

    The Foreign Corrupt Practices Act (FCPA) continues to be a priority for the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ).

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