Securex Compliance provides content to ensure filers and issuers remain up to date on relevant SEC© updates and industry news
Publisher: Bloomberg Author: Jonathan Weil Last week, the SEC© scored a big victory in the success conviction of former SAC Capital Advisors LP fund manager Mathew Martoma. It followed a string of highly publicized successful criminal convictions of insider-trading allegations…
Publisher: CFO Author: Vincent Ryan On Thursday, February 6th, 2014, the PCAOB abandoned their three-year pursuit of a rule to boost auditor independence due to fierce resistance from senior finance executives. The Public Company Accounting Oversight Board conceded defeat when…
Author: Barbara Baksa, Executive Director, NASPP In light of the upcoming tax season, there has been a lot of tax related questions that have popped up on the NASPP forums. Here is a preview of answers to some of the…
Publisher: Bloomberg Magazine Author: Bob Van Voris and Patricia Hurtado On February 6th, 2014, jurors in a Manhattan federal court found Mr. Mathew Martoma guilty on charges of insider trading for their 7th conviction in the SEC© investigation of SAC…
In a step towards global collaboration towards improved financial reporting, the Financial Accounting Foundation, made in consultation with the SEC, contributed $3 million dollars towards the IFRS Foundation. The IFRS Foundation contribution could suggest that the SEC© is planning to…
Published: Forbes Author: Daniel Fisher In SEC© enforcement cases, the Commission has had a policy where they accept a “no-admit, no-deny” settlement from defendants. Defendants get to close their case without having to admit or deny wrongdoing. Many cases have…
Publisher: Barnes & Thornburg LLP Authors: Brian E. Casey, Patrick J. Cotter, Anne N. DePrez, Larry A. Mackey, Vincent Schmeltz III, David L. Young In 2014, government regulators have continued to persist after insider traders both civilly and criminally; continuing…
Inside the provisions of the Dodd-Frank Act are mandated disclosure rules about the usage of “conflict minerals”. The term is defined as certain minerals (tantalum, tungsten, tin and gold) that are mined in the Democratic Republic of Congo or its…
Publisher: The Economist In 2013, the IPO market surged as 222 companies decided to go public to mark a strong year. It was a seven fold increase from 2008, according to Renaissance Capital, a research and asset-management firm. Whether the…
Publisher: IR Magazine Author: David Collins of Catalyst Global In April 2013, the SEC© made a landmark decision in condoning social media for Regulation FD compliant disclosure. In the wake of that decision, IR professionals have to figure out whether…