Posts Tagged ‘sec’
Report Warns on SEC Disclosure Reviews
A report from the Securities Exchange Commission is raising alarms about the SEC staff’s ability to review corporate disclosures, amid painful personnel cutbacks and changes to the regulatory climate that might lead to even more work for those fewer SEC staffers still on the job. The report, released Wednesday by the SEC inspector general, found…
Read MoreDOGE Comes for the SEC
Compliance and audit professionals are hearing today that the DOGE mind virus has now reached the Securities and Exchange Commission, with significant cuts in personnel and resources looming. Let’s take a look at all this to understand what’s really going on at the SEC and how those changes are likely to affect corporate compliance and…
Read MoreMore Questions on Trump II and Compliance
Let’s keep talking about what Donald Trump’s return to power means for the corporate compliance profession because, honestly, what else is there to talk about right now? I’ve spoken with compliance officers all week long about Trump’s victory, and most folks were bewildered, dispirited, anxious, or some blend of all three. Their comments are telling.…
Read MoreSEC: New Extractive Payments Rule
The Securities and Exchange Commission has enacted a new rule for what oil & gas and mining companies must disclose to investors about payments made to foreign governments — a weaker version of a rule the SEC was forced to repeal in 2017, and which drew sharp criticism from the SEC’s lead Democratic commissioner. The…
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