Tag: internal controls

SEC Settles Another FCPA Internal Controls Action

The Commission filed another settled FCPA internal controls actions. The case involved a Canadian mining firm that acquired subsidiaries in Mauritania and Ghana with little to no internal controls that received repeated warnings about those deficiencies but failed to take

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SEC Charges Firm, CEO and CFO In Corporate Perks Action

The Commission charged a firm and its former CEO and CFO in actions centered on the improper payment of expenses facilitated by inadequate internal corporate controls. In the Matter of Provectus Biopharmaceuticals, Inc., Adm. Proc. File No. 3-18306 (Dec. 12,

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