HONG KONG (Reuters) - Hong Kong's securities regulator said it fined and reprimanded the local securities unit of Morgan Stanley for internal control failures related to disclosure of short-selling ...
In the world of compliance and ethics, the Citigroup internal control debacle serves as a glaring reminder of the critical importance of robust, well-designed, functioning and effective internal ...
WASHINGTON, July 30 (Reuters) - U.S. regulators charged the chief executive and former chief financial officer of Florida-based computer equipment company QSGI Inc on Wednesday with misleading outside ...
What happens when controls are continually overridden? Does that necessarily mean that companies are engaging in activities that violate the FCPA or some other law such as Sarbanes-Oxley (SOX).
In a regulatory filing, Macy’s (M) said that in the course of preparing the company’s financial statements for the interim period ended November 2, 2024, management identified a material weakness in ...
Moody's has agreed to pay $16.25 million in penalties for failing to properly manage its credit ratings symbols, the SEC said Tuesday. The SEC filed administrative charges against the credit rating ...
The Treasury Department’s Office of the Comptroller of the Currency (OCC) levied a $65 million civil penalty against Los Angeles-based City National Bank over alleged risk management and internal ...
WRAL News obtained overdue audits analyzing the financial state of Saint Augustine’s University for Fiscal Years 2022 and 2023. Most of the findings revolve around a lack of oversight and insufficient ...
enCore Energy Corp. (EU) Securities Class Action: The case, formally known as Zhongjian v. enCore Energy Corp. (No. 25-cv-01234, S.D. Tex.), was brought on behalf of shareholders who acquired enCore ...
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