News & Analysis as of

Misappropriation Reporting Requirements

Adams and Reese LLP

What are the Best Practices for Internal Controls and the Warning Signs of Embezzlement?

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President Ronald Reagan once said, “Trust, but verify,” echoing a Russian proverb to describe the relationship moving forward with the Soviet Union. The saying loosely translates into proceeding cautiously when someone is...more

Bricker Graydon LLP

New AOS Requirement: All Employees and Elected Officials of a Political Subdivision Required to Complete Online Fraud Training by...

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Per recent updates to various sections of Ohio law, all employees and elected officials of public entities in Ohio are required to report alleged fraud, theft in office, or misuse or misappropriation of public money....more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for April 2024

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •The SEC’s first “Shadow Trading” trial; •SCOTUS’s...more

Vinson & Elkins LLP

Missing Gold: Misappropriation by SPAC CFO Underscores Importance of Internal Controls

Vinson & Elkins LLP on

On February 22, 2023, the Securities and Exchange Commission (“SEC”) issued a cease-and-desist order (the “Order”) charging African Gold Acquisition Corp. (“African Gold”) with multiple violations of the Securities Exchange...more

Ankura

Factors to Be Considered by Financial Organizations for an Effective Transactional Monitoring System

Ankura on

The rising incidence of financial crime continues to haunt financial institutions globally. As per a recent industry report, more SARs (suspicious activity reports) were filed by ~80% of the firms in 2021. COVID-19 pandemic...more

Fisher Phillips

Web Exclusive - May 2018: The Top 14 Labor And Employment Law Stories

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It’s hard to keep up with all the recent changes to labor and employment law. While the law always seems to evolve at a rapid pace, there have been an unprecedented number of changes for the past few years—and this past month...more

Orrick - Trade Secrets Group

Upon Reflection, Some Trade Secrets May Be Less Secret Than They Appear

A recent case in Florida is a reminder that when dealing with government entities, trade secrets may be disclosed to the public, especially if that information has been aggregated. ...more

NAVEX

5 Key Takeaways from My Long List of Regulatory Changes Shared at ECVC2016

NAVEX on

As 2016 draws to a close with a major political transition underway in Washington, D.C., organizations already dealing with a rapidly evolving regulatory environment now face uncertainty regarding whether some of the new...more

Parker Poe Adams & Bernstein LLP

Section 16 Reporting: The SEC is Watching

It is easy to become complacent about Section 16 reporting. Sometimes it seems that the only people paying any attention to Forms 3, 4 and 5 are plaintiffs’ attorneys looking for short-swing profit transactions. Does the SEC...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - March 15, 2013

In this issue: - Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee - SEC Proposes Rules Regarding Technology Systems - FINRA Amends Rules to Address Extraordinary Market...more

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