Peirce’s prepared remarks at the Northwestern Securities Regulation Institute outlined seven principles a newly comprised securities watchdog should follow.
SEA 1934 Rule 13a-15
SEC settles charges over Exchange Act disclosure controls, but two commissioners dissent.
In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.
Activision Blizzard charged $35m for disclosure control failings and violating whistleblower rule
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The gaming company failed to implement necessary controls to collect and review employee complaints about workplace misconduct.