Tag: internal controls

This Week In Securities Litigation (Week ending Feb. 1, 2019)

The first week back after the shutdown was undoubtedly busy for the Enforcement Division and the entire Commission. Whether the government is going to continue past February 15 or not remains an open question and an issue which has all

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A Continuing Focus On Internal Controls: SEC Files 4 ICFR Actions

Internal controls have been a key theme for the Enforcement Division in recent months. Last fall for example, the Division issued a section 21(a) report discussing internal controls based on a series of cyber-security investigations. That discussion was grounded in

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