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Results: 1-10 of 23,705

Public company restatements have fallen sharply since SOX

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 31 2014

Academic research commissioned by the Center for Audit Quality finds that the number of restatements of financial statements filed with the SEC has

Council of Institutional Investors reiterates request for audit partners to sign audit reports

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 31 2014

According to an August 13, 2014 New York Times DealBook column entitled "Once Powerful, Mary Jo White's S.E.C. Is Seen as Sluggish and Ineffective,"

SEC files enforcement action based on internal control problems

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 31 2014

On July 30, the SEC announced the filing of administrative actions against the CEOChairman and against the former CFO of QSGI, Inc., alleging that

SEC sends an internal control “wake-up call” to companies in high risk markets

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 31 2014

On July 28, the SEC announced the settlement of an administrative action against Smith & Wesson, a firearms manufacturer. The gist of the case is

The rise of foreign issuer IPOs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • August 29 2014

Foreign issuer IPOs have been increasing recently as foreign issuer activity continues to improve since a marked decline in 2011 and 2012. This

Use of Form PF data described by SEC

  • Foley & Lardner LLP
  • -
  • USA
  • -
  • August 29 2014

Registered investment advisers who manage private funds with at least $150 million in regulatory assets are required to file Form PF with the SEC on

Alternative investment strategies

  • Foley & Lardner LLP
  • -
  • USA
  • -
  • August 29 2014

Funds that use alternative investment strategies should be aware of the SEC focus on their use in mutual funds and should evaluate their policies and

Persons registered as municipal advisers face SEC examination program

  • Foley & Lardner LLP
  • -
  • USA
  • -
  • August 29 2014

The SEC recently announced that its Office of Compliance Inspections and Examinations ("OCIE") will shortly commence an examination program of

Another conflict of interest enforcement action taken by the SEC against a registered adviser

  • Foley & Lardner LLP
  • -
  • USA
  • -
  • August 29 2014

The president of a registered investment advisory firm, Jason D. Huntley, agreed to, among other things, a five-year bar from association with any

SEC proposes extension of principal trade rule for registered advisersbroker-dealers

  • Foley & Lardner LLP
  • -
  • USA
  • -
  • August 29 2014

The SEC has proposed extending to December 31, 2016, the sunset date for the expiration of Rule 206(3)-3T (the "Rule") under the Investment Advisers