Tag: SEC

SEC Enforcement – More Internal Controls

Internal accounting controls is emerging as a continuing theme with SEC enforcement. In recent weeks, for example, the agency has issued a report of investigation on internal accounting controls relating to cyber security and resolved an FCPA investigation, centered on

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SEC Sanctions Firm For Falsifying Value of Deal

Critical to any exchange transaction is the value given and received. It is axiomatic that the firm must conduct appropriate due diligence to determine the appropriate value and properly account for the transaction. A failure to account for the transaction

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