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Category: Governance
Clients selected their own samples and prepared workpapers The Securities and Exchange Commission today charged Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China), the Chinese affiliate of the Deloitte global...
CEO of Hydrogen’s “Market Maker” also being charged for role in scheme The Securities and Exchange Commission today announced charges against The Hydrogen Technology Corporation, its former CEO, Michael Ross...
Firms admit to wrongdoing and agree to pay penalties totaling more than $1.1 billion On Tuesday, September 27, 2022, the Securities and Exchange Commission announced charges against 15 broker-dealers and...
Company also Charged for Disclosure Control Failures Involving Mercury Contamination in Brazil On Friday, September 23, 2022, the Securities and Exchange Commission announced settled charges against Compass Minerals International Inc....
Former CEO Agrees to Settle to Same Charges and Pay $1 Million The Securities and Exchange Commission charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making...
Senior legal analysts explore the latest SEC initiatives around ESG disclosure for asset managers, as well the strident opposition and likely legal challenges the agency’s controversial proposals will encounter As...
On Monday, September 19, 2022, the Securities and Exchange Commission issued a cease-and-desist order against Sparkster Ltd. and its CEO, Sajjad Daya, for the unregistered offer and sale of crypto...
The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying...
President Biden’s Bipartisan Infrastructure Law Provides $5B in NEVI Formula Funding to Help States Install EV Chargers Along Interstate HighwaysAdditional EV Charging Funding to Come The Biden-Harris Administration today announced...
The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first...
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury...
The Securities and Exchange Commission today adopted amendments to its rules to implement inflation adjustments mandated by the Jumpstart Our Business Startups (JOBS) Act. The SEC is required to make...
The Securities and Exchange Commission today announced charges against a number of investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their...
The Securities and Exchange Commission today charged Energy Innovation Capital Management, LLC (EIC), a California-based exempt reporting adviser, with charging excess management fees from two venture capital funds. EIC has...
Funds help states address ongoing impacts of climate change and severe weather In an ongoing effort to help states repair and rebuild critical infrastructure that resident and businesses rely on...
Reinsurance Group of America, a leading global life and health reinsurer, announced the launch of its inaugural ESG report. The report from RGA reflects the company’s long-standing and growing commitment...
The U.S. Department of Transportation’s Federal Highway Administration (FHWA) announced Monday August 15, 2022, the immediate availability of $11.7 million in “quick release” Emergency Relief (ER) funds for use by...
The Securities and Exchange Commission today proposed new rules to help improve governance arrangements across all registered clearing agencies by reducing the likelihood that conflicts of interest may influence the...
In keeping with President Biden’s commitment to build out a national network of 500,000 electric vehicle (EV) chargers by 2030, the U.S. Departments of Transportation and Energy announced on Tuesday...
The U.S. Department of Transportation’s Federal Highway Administration today announced $172.2 million in Fiscal Year 2022 formula funding under the Bipartisan Infrastructure Law to 35 states and 3 territories to...
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