In 2021, at both the SEC and the PCAOB, accounting and auditing enforcement activity and monetary settlements decreased. Together, the SEC and PCAOB publicly disclosed 52 accounting and auditing enforcement actions and monetary settlements totaled approximately $159 million
In 2021, at both the SEC and the PCAOB, accounting and auditing enforcement activity and monetary settlements decreased. Together, the SEC and PCAOB publicly disclosed 52 accounting and auditing enforcement actions and monetary settlements totaled approximately $159 million
In remarks yesterday before the Northwestern Pritzker School of Law's Annual Securities Regulation Institute, SEC Chair Gary Gensler addressed cybersecurity under the securities laws.
In remarks yesterday before the Northwestern Pritzker School of Law’s Annual Securities Regulation Institute, SEC Chair Gary Gensler addressed cybersecurity under the securities laws..
On November 18, 2021, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2021, and there are a few key takeaways for fund managers.