Top 10 biggest FCPA settlements ever: Penalties for bribing
These are the top 10 biggest FCPA settlements since the law came into effect in 1977. The SEC and DOJ are responsible for enforcing it.
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COVID-19 Should Not Stop the SEC Finalizing Long Overdue Upgrade to the Corporate Governance System
As lawmakers, public health officials, doctors, volunteers, and the general public scramble to adjust to the ‘new normal’ of living through a global pandemic and…
SEC ups scrutiny of misleading fund names
The SEC is considering revising the 19-year-old Names Rule to assess whether the rule is effective in preventing misleading or deceptive fund names, which could…
SEC’s new rules on proxy voting advisers
With the closing of the comment period on the Securities and Exchange Commission (SEC)’s proposed new rules on proxy voting advisers and shareholder proposal submission…
Investors Oppose SEC’s restriction on shareholder rights
Investors Overwhelmingly Oppose SEC’s restriction on Shareholder Rights Investor comments filed with agency say the SEC’s proposals would harm investors Q4 2019 hedge fund letters,…
The Democratization Of Real Estate Investment
Most experts would agree that the main obstacle holding crypto back is regulation. Right now in the U.S., regulation surrounding blockchain and crypto is about…
SEC Proposes A 60-Day Comment Period For Proxy Voting Advice
When Institutional Shareholder Services (ISS) sued the Securities and Exchange Commission (SEC) last week to block guidance issued in August from coming into effect, it…
Prosposed SEC Rules To Restrict Proxy Access
Agency caves to pressure on environmental, social, and governance issues from trade associations like the Business Roundtable, U.S. Chamber, and National Association of Manufacturers to…
Shareholders Ask SEC Chairman to ‘Resist Current Efforts to Curtail Investors’ Rights’
BERKELEY, CA—OCT. 28, 2019—A group of concerned investors wrote to the U.S. Securities and Exchange Commission’s (SEC) Chairman Jay Clayton on Friday urging him to…
Sierra Club files a lawsuit against the SEC over not responding to FOIA request
SEC Faces Lawsuit; Refuses to Explain Decisions Limiting Shareholder Rights Regarding Climate Risks BERKELEY, CALIFORNIA—OCT. 24, 2019—The Sierra Club today filed a lawsuit against the…
America’s retirees finally receiving protection from shady proxy advisors
The Securities and Exchange Commission (SEC) last month voted on new guidelines that direct fund managers who oversee the retirement funds of millions of pensioners…
Jay Clayton On Crypto Markets: Harder To Prevent Manipulation
CNBC Transcript: SEC Chairman Jay Clayton Speaks with CNBC’s “Squawk Box” Today WHEN: Today, Thursday, June 6, 2019 WHERE: CNBC’s “Squawk Box” The following is…
The Joint Musk-SEC Letter Is Due With Judge Nathan’s Office Soon
Whitney Tilson’s email to investors discussing Elon Musk-SEC joint letter which is due with Judge Nathan’s office today. From a friend: Q1 hedge fund letters,…
SEC Gives Guidance On The Security Status Of Digital Assets Aka Crypto
The Securities and Exchange Commission has recently released a framework for determining the security status of digital assets. This hopefully adds some clarity to the…
Elon Musk Ignored The Court’s Order And The Tesla Policy
Whitney Tilson’s email to investors discussing the SEC’s reply to Musk’s order to show cause. The SEC wants the court to hold Elon Musk in…
