Tag: COMPLIANCE
SubscribeNew Audit Standards Accompanied by Calls for Stronger Leadership
The top accountant at the Securities and Exchange Commission has had enough with auditors behaving badly, and he’s taking aim at the leadership of their firms as regulators move to tighten up auditing standards. In a statement issued earlie...
Read MoreSEC’s Win in ‘Shadow Trading’ Case Shines Light on Corporate Trading Policies
The circumstances of individual cases may differ, but we all know that insider trading involves using material, non-public information to buy and sell a company’s securities. But what if you possess inside information about one company that...
Read MoreSEC Getting Serious About Related Party Transaction Disclosures
When Martha Stewart teamed up with Skechers to launch her own line of branded footwear last year, the partnership seemed to fit like your favorite pair of slip-on sneakers. “Martha’s style is all about blending form and function,” noted an...
Read MoreInadequate Internal Controls Contribute to Surge of Delayed Annual Reports
A slew of companies both large and small have announced in recent weeks that they would miss the deadline this year for filing their annual reports. Although companies delaying the release of their Form 10-K isn’t unusual, the number doing...
Read MoreNo Fear of AI Here: Survey Reveals Little Worry Among Compliance Pros Over Use of AI
As big business has embraced the promise of artificial intelligence, questions and concerns among professionals, consumers and investors about the potential negative effects of AI have tempered the allure of innovation and improved bottom l...
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