News & Analysis as of

Fraud CFOs

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Vinson & Elkins LLP

Failure to Act: SEC Brings Individual Charges Against CFO and Audit Committee Chair in Corporate AI Fraud Case

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On September 16, 2024, the United States Securities and Exchange Commission (“SEC” or the “Commission”) brought charges against Kubient, Inc.’s (“Kubient”) former chairman and chief executive officer (“CEO”) for allegedly...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - June 18th, 8:00 am - 5:00 pm CT

Achieve your ESG goals in 2024 - Environment, Social, and Governance (ESG) is a top priority for organizations of all types and sizes, and it the compliance team is a key factor in the ESG equation. Much like regulatory...more

Houston Harbaugh, P.C.

ACT NOW: FEDERAL FILING REQUIREMENTS MAY IMPACT YOU!

In 2021, Congress passed the Corporate Transparency Act (CTA) in an effort to thwart criminals from using entities as a way to launder money and further illicit activities. The CTA contains a reporting requirement mandating...more

Morrison & Foerster LLP

Top 5 SEC Developments (September 2023)

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In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources....more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - November 30th, 8:30 am - 4:30 pm CT

Environment, Social, and Governance (ESG) is a top priority for organizations of all types and sizes, and it the compliance team is a key factor in the ESG equation. Much like regulatory risks, managing ESG goals and metrics...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Nonprofit Sector Compliance Conference - May 23rd, 8:30 am - 4:15 pm CT

Get support and insight on the compliance challenges in nonprofit settings - From fraud and conflict of interest to tax exemption, fundraising, and data security, nonprofit organizations are faced with unique and...more

Farella Braun + Martel LLP

A Primer for Corporate Directors: Maximizing Internal Investigation Effectiveness and Efficiency

In corporate America and across the globe, allegations of wrongdoing within companies are increasingly common, and the high cost of internal investigations continues apace. In 2021, in an anonymous survey of more than 1,330...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - December 1st, 8:25 am - 3:00 pm CST

Discover how to set and accomplish your ESG goals - Environment, Social, and Governance (ESG) is no longer an isolated function within a company, nor is it an issue only for publicly traded companies. It’s front and center...more

White & Case LLP

One Step Closer To The Future (Part II) – Statutory Reform to the Identification Principle

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Earlier this summer, the Law Commission published its long awaited proposals on reforming corporate criminal liability in England and Wales (the "Options Paper"), following the launch of its discussion paper in June 2021....more

Society of Corporate Compliance and Ethics...

[Virtual Event] Nonprofit Sector Compliance Conference - May 24th, 9:00 am - 4:00 pm CDT

Get the support you need to properly manage key nonprofit compliance challenges - Nonprofit organizations often find themselves vulnerable to unique fraud and conflict of interest concerns. This one-day virtual conference...more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - April 26th, 7:55 am - 3:15 pm CDT

Discover how to set and accomplish your ESG goals - Environment, Social, and Governance (ESG) is no longer an isolated function within a company, nor is it an issue only for publicly traded companies. It’s front and...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Nonprofit Sector Compliance Conference - May 25th, 8:55 am - 3:30 pm CDT

Make sure you’re fully equipped to manage compliance risks in the nonprofit sector - Nonprofit organizations are exposed to a diverse universe of compliance risks, including many that are unique to the nonprofit sector....more

Society of Corporate Compliance and Ethics...

[Virtual Event] Nonprofit Sector Compliance Conference - November 5th, 9:20 am - 3:30 pm CST

The charitable organization sector faces many compliance challenges, including: - unique tax exemption issues - fundraising registration and related issues - privacy and data security - complex reporting...more

Locke Lord LLP

[Webinar] Issues and Recent Developments in Art Law, Part 1: Lending Issues - Wealth Management - February 21st, 11:00am CT

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Please join Christie’s and the Locke Lord LLP Art Law Group for an informative discussion on current lending issues affecting art. Wednesday, February 21, 2018, 11:00 a.m. - 12:30 p.m. (Central. Program will promptly begin...more

Thomas Fox - Compliance Evangelist

Like a Rolling Stone and the Failures of Internal Controls

I continue my celebration of Bob Dylan, Nobel Laureate, by reflecting on what many consider to be his greatest recording, Like a Rolling Stone. In 2004, Rolling Stone magazine named it as the greatest song of all time....more

Thomas Fox - Compliance Evangelist

HorrorFest 2015 Celebration I- The Films of Val Lewton and a Win for the DOJ

Today, October 2, is the first Friday in October so I begin my annual month of Friday HorrorFest Film highlights. This year I wanted to highlight the films of one of the great unknowns of horror films, Val Lewton. Lewton, a...more

Dorsey & Whitney LLP

SEC Files Settled Financial Fraud Action

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Financial fraud actions have traditionally been a staple of SEC Enforcement. During the market crisis, however, the number of those cases waned. Following the formation of a task force focused on financial statement fraud,...more

Dorsey & Whitney LLP

SEC Settles Financial Fraud Charges With Issuer, CFO

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The Commission filed settled financial fraud charges against an issuer which discovered and remediated a series of accounting issues and the CFO who caused the books and records to be falsified, eventually resulting in a...more

Sands Anderson PC

Rogue CFO I- Introduction

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Small, privately owned corporations deal with all types of challenges: competition, government regulations, recessions, rising cost of benefits for employees —the list is long. But one area that seems to be a persistent...more

Dorsey & Whitney LLP

SEC Names Company, Eight Directors and Officers In Financial Fraud Actions

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Since the market crisis enforcement officials have heard repeated calls to prosecute not just companies but high ranking corporate officials. While the Commission brought a series of market crisis actions against firms and...more

Allen Matkins

Do Misstated Financial Statements Cause CEOs To Speed?

Allen Matkins on

Should companies look into the driving records of the CEOs that they hire? Robert H. Davidson, Aiyesha Dey, and Abbie Smith answer that question in a forthcoming Journal of Economics paper. These authors examined a sample...more

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