Tag: sec
SubscribeRegulators Continue Costly Crackdown on Off-Channel Communications
How much would your teenage children pay to stay on their favorite social media apps? One thousand dollars? Ten thousand? More? If you think their addiction is bad, console yourself with the example of the country’s largest financial instit...
Read MoreSEC Dings Investment Advisors for AI Washing; Are Public Companies Next?
You’ve heard of greenwashing and sports-washing. Let us introduce you to AI washing. In what is believed to be a first for the Securities and Exchange Commission, the agency recently settled charges against a pair of investment advisors for...
Read MoreSEC Getting Serious About Related Party Transaction Disclosures
When Martha Stewart teamed up with Skechers to launch her own line of branded footwear last year, the partnership seemed to fit like your favorite pair of slip-on sneakers. “Martha’s style is all about blending form and function,” noted an...
Read MoreGrowth of SPACs Prompts Concerns Over Audit Quality
Special purpose acquisition companies – more commonly known as SPACs – have seemingly disappeared from the investing scene in recent years. And when they do make the news, it’s usually news of the wrong kind. After a tidal wave of SPACs was...
Read MoreRecent Court Decisions Add to Uncertainty for Businesses
A constitutional ruling by an Alabama judicial body has the rest of the country wondering about its potentially widespread implications. Sound familiar? We’re not talking about the Alabama Supreme Court ruling that embryos created through I...
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