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1 May 2013, 2:21 pm
Having senior people introduce themselves helps to show to the SEC that you are taking compliance and the SEC presence seriously. [read post]
10 May 2012, 8:00 am
This no action position has engendered much criticism from SEC Commissioner Aguilar. [read post]
12 Mar 2024, 3:36 am
See, e.g., SEC Form S-11. [read post]
25 Nov 2020, 10:17 am
Also, if the SEC asks to speak with you, our SEC lawyers can go with you to the SEC offices to make sure the SEC receives all relevant information and to represent you as the whistleblower. [read post]
10 Aug 2021, 2:07 pm
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
10 Feb 2014, 2:45 pm
“Yet the SEC is not adequately enforcing its own requirements. [read post]
9 Jul 2009, 8:19 am
In its most recent ComplianceAlert, dated July 2008, the SEC noted concern over the following selected practices by SEC-registered firms: (a) Investment Advisors/Mutual Fundsa. [read post]
18 Apr 2022, 3:30 am
Continue reading "ESG and the SEC"The post ESG and the SEC appeared first on Jotwell. [read post]
4 Sep 2022, 9:05 pm
But the SEC might expand beyond traditional disclosure, according to a comment letter by Stanford Law School professor and former SEC commissioner Joseph Grundfest. [read post]
5 Apr 2023, 4:05 am
The SEC’s Office of Minority and Women Inclusion was created after my time at the SEC, and until recently I was not aware of the office’s history and the considerable impact that it has had on the agency. [read post]
20 Apr 2012, 3:59 am
Egan-Jones Ratings Co. says that the SEC will file an administrative action against the rating firm soon. [read post]
8 Nov 2021, 3:00 am
The SEC recently announced that Nicole Creola Kelly has been appointed as Chief of the SEC’s Office of the Whistleblower. [read post]
3 Feb 2023, 9:16 am
The SEC charged Activision with, among other things, violating the agency’s whistleblower protection rules. [read post]
6 Jul 2022, 9:32 am
The SEC based its denial on the fact that the individual’s disclosure to the SEC was not made voluntarily. [read post]
24 Feb 2010, 10:27 am
SEC Reaffirms Its Commitment to IFRSWhile noting that incorporating IFRS into the US financial reporting system would involve a significant undertaking, SEC Chair Mary Schapiro reaffirmed the Commission’s support for a single set of global accounting standards. [read post]
17 Sep 2020, 1:43 pm
Read More: Financial & Investment Fraud Our Other SEC Enforcement Actions SEC Whistleblower Program Whistleblower FAQs Contact Our Whistleblower Team Read SEC Whistleblower Awards Keep Rolling In at constantinecannon.com [read post]
16 Mar 2007, 4:37 am
The SEC should be prepared to act on the rulemaking even if it results in a split vote, in his view. [read post]
7 Dec 2023, 7:11 am
The SEC’s release continues to highlight how cooperation with the SEC is encourage and rewarded. [read post]
21 Jan 2022, 1:41 pm
Read: SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers More SEC whistleblower news on WNN The post SEC Awards Over $40 Million to Whistleblowers appeared first on Whistleblower Network News. [read post]
30 Aug 2022, 8:30 am
These changes let the SEC make an award when the other agency’s program isn’t comparable to the SEC’s, or if the SEC’s award would pay $5 million or less. [read post]
