In a recent speech, SEC Enforcement Director Andrew Ceresney confirmed the SEC’s continued pursuit of investigations and enforcement actions relating to issuer reporting and disclosure, an area that remains a high priority...more
10/3/2016
/ Audits ,
Corporate Issuers ,
Disclosure Requirements ,
Disgorgement ,
Enforcement Actions ,
Ernst & Young ,
Financial Reporting ,
ICFR ,
Internal Controls ,
PCAOB ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblowers
The SEC’s recent aggressive enforcement posture against chief compliance officers has raised many concerns, including whether the SEC’s actions are actually chilling robust compliance efforts. To protect themselves against...more