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Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

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Richard Bistrong Contributing Editor 

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FCPA Blog Daily News

Entries in SEC (46)

Wednesday
Aug272014

SEC acts to restore compliance at ratings agencies

The Big Three credit rating agencies -- Standard & Poor's, Moody's, and Fitch Group -- control about 95% of the market. They played a pivotal role in causing the 2008 financial meltdown. Rules adopted by the SEC Wednesday are intended to bring integrity back to the ratings process.

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Friday
Aug012014

Ex-CalPERS chief pleads guilty to fraud and bribery

The former head of the nation's biggest pension fund pleaded guilty in federal court in San Francisco to taking bribes and helping an associate collect millions in a fraudulent investment scheme.

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Tuesday
Jul152014

EY lobbying violated auditor independence rules, SEC says

Photo by Julie DiMauroAccounting giant Ernst & Young will pay $4 million to settle civil charges that it violated auditor independence rules after one of its units lobbied congressional staffers on behalf of audit clients, the Securities and Exchange Commission said Monday.

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Friday
Jul112014

Resource alert for SEC's Cybersecurity Initiative

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert in April with additional information about its Cybersecurity Initiative. 

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Thursday
Jul102014

Target, others face SEC scrutiny over cyberattacks

The U.S. Securities and Exchange Commission has opened investigations of multiple companies in recent months examining whether they properly handled and disclosed a growing number of cyberattacks.

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Friday
Jun202014

Regulators are hiring experts, and working together around the globe

The SEC increased its headcount by 22 percent and spending by 62 percent since 2006. The increases are part of a global trend as agencies worldwide coordinate their scrutiny over regulated entities.

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Wednesday
Jun112014

Interview with Christopher Ehrman, Director of the CFTC Whistleblower Office

As readers of the FCPA Blog know, the Dodd-Frank Act in 2010 created whistleblower bounty programs in both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).

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Friday
Jun062014

SEC turns 80 -- shows little signs of slowing down

June 6 is the U.S. Securities and Exchange Commission's 80th birthday. It's a good reason to revisit the agency's role in regulating the world's biggest securities market and the varying interpretations of its mission.

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Thursday
Jun052014

Federal judge expands meaning of 'whistleblower' beyond other ruling

A federal district court ruled in May that whistleblowers don't have to report to the SEC to receive protection against retaliation by their employers.

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Wednesday
Jun042014

Two SEC whistleblowers share $875,000 award

The SEC said Tuesday it awarded two whistleblowers more than $875,000 for their tips that helped the agency bring an enforcement action.

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Wednesday
Jun042014

China units of Big Four in settlement talks with SEC

The U.S. Securities and Exchange Commission said it is trying to reach a settlement with the Chinese units of the Big Four accounting firms of a long-running dispute over regulators' access to audit documents.

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Friday
May232014

SEC probing Charles Schwab, Merrill Lynch for AML lapses

U.S. regulators are investigating Charles Schwab and Bank of America's Merrill Lynch brokerage over whether they are doing enough to verify their clients' identities as part of their anti-money laundering programs. 

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