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    Blogs > Biz Law Blog

    Compliance

    August 19, 2024
    “Putting Your Foot In It:” SEC Sanctions Skechers for Undisclosed Transactions with Insiders and Their Families
    April 15, 2024
    Fair Representation: SEC Approves Revised FINRA Dispute Resolution Rules
    April 1, 2024
    What Constitutes a “Financial Institution” for Purposes of the Corporate Transparency Act?
    March 25, 2024
    The Price Is “Wrong”: SEC Sanctions Pharma Company for Faulty Rebates
    March 18, 2024
    The Corporate Transparency Act: What is Self-Authentication Regarding Beneficial Ownership Information?
    March 11, 2024
    Laying Down the Law: SEC Sanctions UK Broker/Dealer and Four U.S. Representatives
    February 26, 2024
    Contracting with A Service Company to Provide the Applicant Under the CTA
    February 12, 2024
    Really Bad Counting: SEC Sanctions Royal Bank of Canada for Accounting Violations
    January 22, 2024
    New Diligence Opportunity for Financial Institutions
    January 16, 2024
    Not Up to PAR: Regulators Sue Entities and Individuals for Fraudulent Fundraising for Small Business Loans
    November 28, 2023
    Accountable Independence: SEC Sues Indemnified Audit Firm
    November 21, 2023
    The Reach Too Far: SEC Sues Over Botched School Audit
    October 30, 2023
    Businesses Beware: Penalties for Failure to Comply with Reporting Requirements of the Corporate Transparency Act
    October 9, 2023
    Crypto Fraud Corrections: When the “Blue Wall” is Pierced
    September 14, 2023
    What is the New Beneficial Ownership Information (BOI) Reporting and How Does it Affect Your Business?
    August 29, 2023
    ‘Eating Crowe’: UK Accounting Firm Found Incompetent
    August 7, 2023
    Major Fraud: SEC, FINRA, and NJ US Attorney Charge Adviser With Theft From Military Families
    May 22, 2023
    Vintage Fraud: When Liquid Assets Leak Away
    May 15, 2023
    Pricing Service? SEC Bends the Law to Sanction Valuer of Fixed Income Securities
    April 24, 2023
    No Exit: SEC Sanctions Investment Advisers for “Pay to Play” Violations
    April 17, 2023
    Garden State “Developers:” SEC Sues Real Estate Investment Firm and its Principals for $630 Million Fraud
    April 10, 2023
    Volunteers Only Win in Tennessee: NJ Court Holds No LLC Derivative Claim and No Third Party Claim v. Accountant
    March 20, 2023
    SEC Obtains Court Judgment Against Unregistered Municipal Advisors
    March 6, 2023
    Who Pays and How Much? Consolidated Audit Trail Funding
    February 21, 2023
    The Fourth Crow: SEC Sues Nonexistent Fund and Unidentified Agents
    January 23, 2023
    Hack Attack: SEC Charges 18 Individuals and Entities with Microcap “Pump and Dump”
    January 17, 2023
    “Picking the Winner”: SEC Sanctions Investment Adviser and an Associate for “Rigging” the Game
    January 9, 2023
    Investment Esoterica: A Stockless Triptych
    January 3, 2023
    Double Jeopardy: SEC and FRB Sanction Bank and its CEO
    December 27, 2022
    Delusional Improvement: SEC Proposes Governance Rules for Clearing Agencies
    December 19, 2022
    Cutting Corners: SEC Sues Surgical Implant Company for Disclosure AND Accounting Fraud
    December 12, 2022
    'No Exit': SEC Sanctions Investment Adviser for Impeding University Investors from Departing a Private Fund
    December 5, 2022
    Goldman and the Juliet Problem: SEC Sanctions Adviser for Faulty ESG Policies
    November 28, 2022
    Only Sell What You Know-II: Selling Variable Interest Structure Products Is a Fraud on the Unsuspecting
    November 21, 2022
    “Red Flags in the Mind Set”: SEC Sanctions Three Broker/Dealers for Identity Theft Deficiencies
    November 14, 2022
    Fake News, American Style: SEC Sues Company and Executives for Phony “News”
    October 10, 2022
    “Promise Them Anything, But Give Them” – NOTHING, SEC Sanctions Adviser to Private Funds
    October 3, 2022
    Independence Days: SEC Acting Chief Accountant Guides on PE Investment and Consultant Divestiture
    September 26, 2022
    Non-Compliant Compliance: SEC Sanctions Chief Compliance Officer
    September 6, 2022
    Book Cooking Consequences: SEC Sanctions Corporate Executives and Outside Auditors for Accounting Fraud
    August 29, 2022
    Armored to the Brink: SEC Finds Security Company’s Confidentiality Agreement Illegal
    August 1, 2022
    Who Are You? Auditor or Consultant, And Nonetheless Cheating on Exams
    July 25, 2022
    Mony a Mickle Maks a Muckle: SEC Charges Foreign Nationals with Two Microcap Frauds
    July 15, 2022
    Fingers in the Till: SEC Charges Texas City Administrator with Falsified Financial Statements to Conceal Embezzlement
    July 11, 2022
    Stealing From the Weak: SEC Charges Fraudulent Operation of Special Needs Pooled Trusts
    June 27, 2022
    Serving the Public? SEC Charges Two Municipalities and Their Leaders with Bond Fraud
    June 20, 2022
    Changing the Game: SEC Brings Enforcement Action for Exchanging Annuities
    June 13, 2022
    A Fool in Idaho; SEC Sues Idahoans for Insider Trading Scheme
    June 1, 2022
    SEC Brings Enforcement to Tragedy: Asserts Failed ESG Disclosure in Dam Collapse
    April 28, 2022
    Failing Grades: School District and Auditor Earn SEC Discipline
    December 28, 2021
    Form Does Matter: NJ Professional Corporation is Different from its Principals
    December 21, 2021
    Uniform Independence: SEC Sanctions Accountants and Lawyers
    May 13, 2021
    Twelve Tips When Preparing to Sell a Family-Owned Business
    April 27, 2021
    “I Robot:” The SEC Evaluates the First Law of Robotics
    April 20, 2021
    Red Flags and SARs: The SEC Warns Broker/Dealers on AML
    March 9, 2021
    Are You Covered? The Exposure of D’s and O’s for Diverse Reasons
    January 14, 2021
    Taming the Elephants: SEC Jumbo Trader Risk Alert
    January 12, 2021
    In Defense of the Realm: The NDAA, Money Laundering, and Terrorist Financing
    October 6, 2020
    Commerce, Culture, and Compliance
    August 19, 2020
    Are You Ready? Preparing Your Business for a Paycheck Protection Program (PPP) Loan Audit
    December 11, 2018
    The Expanding Scope of the Committee on Foreign Investment in the United States

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