Photograph of skyscrapers with glass windows from the ground facing up to a blue sky

Tag: sec

Bundles of blueberries in cartons

SEC Checks Greenwashing at ESG Funds

Bundles of blueberries in cartons

When you buy “organic” blueberries at the grocery store, you should be able to trust the label. When you buy “plant-derived” baby soap, you should be able to trust the label. So, when you buy shares in an “ESG” (environmental, social and go...

Read More
How pouring liquor into shot glass can be measured

SEC Won’t Let Companies Get Intoxicated by KPIs

How pouring liquor into shot glass can be measured

Was Diageo PLC overserving its distributors? The Securities and Exchange Commission certainly seems to think so. The SEC announced charges last month against the London-based liquor company related to allegations that its North American sub...

Read More
Lens of Focus: Unveiling the Unseen of subsequent events

Coronavirus Disclosures, Compliance Starting to Come into Focus

Lens of Focus: Unveiling the Unseen of subsequent events

Even before U.S. health officials sounded the alarm about the coronavirus, financial markets were sufficiently spooked by the outbreak this week to prompt a sell-off. As stock prices tumbled and investors wrestled with the prospect of an ec...

Read More
People playing in Tug of war contest

Four Takeaways from the Government’s 2021 Budgets

People playing in Tug of war contest

The White House and the SEC released proposed budgets for the year 2021 last week, and they tell a compelling story of internal conflict. Don’t get us wrong: the proposals are terribly boring to read. But when you step back far enough from...

Read More
Tackling Football Players

SEC Tackles Cybersecurity for Financial Services Sector

Tackling Football Players

You’ve probably heard the news: cybersecurity is a big deal these days. And when it comes to protecting sensitive consumer information from cyberattacks, arguably no industry faces a bigger burden of responsibility than financial services....

Read More