Searching Content indexed under Securities by Alan Wilson ordered by Published Date Descending.
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SEC Releases New Guidance Related To The Proxy Voting Process For Investment Advisers And Proxy Advisory Firms
Following a 3-2 vote last week, the Securities and Exchange Commission has released two pieces of guidance related to the proxy voting process:
United States
29 Aug 2019
Sagar Teotia Named SEC's Acting Chief Accountant
Sagar Teotia has been named as Acting Chief Accountant following Mr. Bricker's departure.
United States
3 Jun 2019
Recent Enforcement Actions Underscore Importance Of Timely Remediating Material Weaknesses In ICFR
Financial penalties in the settlements ranged from $35,000 to $200,000.
United States
5 Feb 2019
SEC Cautions Issuers To Consider Cyber Threats When Devising And Maintaining Internal Accounting Controls
As the report illustrates, weaknesses in company policies and procedures and human vulnerabilities ultimately contributed to the success of these schemes.
United States
19 Oct 2018
Recent Enforcement Action Serves as a Reminder of the Need to Complete Audit Firm Review of Interim Financial Statements Before Filing Form 10-Q
On Friday, the Securities and Exchange Commission announced that it had settled enforcement actions against five companies for violating the Regulation S-X requirement that interim financial statements included in quarterly reports on Form 10-Q be ..
United States
25 Sep 2018
SEC Adopts Disclosure Update And Simplification Rules
Last week, the Securities and Exchange Commission voted to amend disclosure requirements "that have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission disclosure requirements, U.S. Generally Accepted Accounting Principles ("U.S. GAAP"), or changes in the information environment."
United States
22 Aug 2018
SEC Approves Guidance On Public Company Cybersecurity Disclosures
On February 21, 2018, the Securities and Exchange Commission (SEC) approved an interpretive release updating guidance on public company disclosure and other obligations concerning cybersecurity matters.
United States
26 Feb 2018
Corp Fin Director Discusses Policy, Outreach And Future Areas Of Focus
Earlier this month, SEC Division of Corporation Finance Director William Hinman delivered the keynote address at the Practising Law Institute's Seventeenth Annual Institute on Securities Regulation in Europe.
United States
13 Feb 2018
SEC Chairman Shares Upcoming SEC Rulemaking And Other Priorities At The 45th Annual Securities Regulation Institute
Earlier this week, SEC Chairman Jay Clayton and members of the SEC Division of Corporation Finance discussed a number of topics relevant to public companies ...
United States
29 Jan 2018
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