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CII has published an update to its analysis of disclosure on board evaluations in proxy statements, highlighting as “Seven Indicators of Strength” a wish list of information.
The repo...
Fitch Ratings announced on Monday that it has launched a new integrated scoring system that shows how environmental, social and governance (ESG) factors, such as climate change, human rig...
At the very end of the year, the SEC announced the entry of an administrative order instituting cease-and-desist proceedings in connection with financial reporting at a major rental car c...
As 2018 came to a close, U.S. financial regulators continued to pursue anti-money laundering (“AML”) enforcement actions against financial institutions, announcing monetary penalties ...
Due to the government shutdown, SEC staff members will not consider requests for acceleration or qualification of registration or offering statements until further notice. Companies may, ...
On December 26, 2018, the Ninth Circuit issued a decision in a shareholder derivative action that alleged that Disney’s board of directors and several corporate officers participated in...
The SEC instituted a cease-and-desist proceeding in a fairly straightforward enforcement action that nonetheless emphasizes the importance of the requirement that GAAP measures must be pr...
The Federal Reserve and FDIC (the Agencies) provided feedback on the U.S. resolution plans filed in July 2018 by four Foreign Banking Organizations – finding shortcomings in each, but a...
Rules and Regulations
SEC Staff Releases Update to Investment Company Reporting Modernization FAQs
SEC Proposes Rule Changes for Fund of Funds Arrangements
Industry Update
Remarks...
The SEC will be closed for the holidays on December 24 and 25. In addition, in the event of a government shutdown, the SEC said it would “remain fully operational for a limited number o...