Sarbanes-Oxley Act 2002
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SEC approves $200m Barclays distribution plan years after shelf control collapse
Three years after Barclays admitted to selling $17.7 billion in unregistered securities, the SEC has approved a long-awaited plan to return funds to harmed investors.
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OPINION: The dangers of cutting audit regulation
There have been growing calls from the UK’s financial services sector for cuts to audit regulation.
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Murray v UBS: Supreme Court just made it easier for whistleblowers to win retaliation claims
Unanimous decision by US Supreme Court in favor of former UBS bond strategist Trevor Murray adds clarity to what whistleblowers with retaliation claims need to prove.
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US Labor Dept, Solicitor General and SEC back UBS whistleblower in burden-of-proof case
Federal agencies file amicus briefs in support of former UBS whistleblower to Supreme Court.
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Change up: CEO succession planning to manage risk
Leadership and culture are in the news, and getting both right is more important than ever.