September 9, 2024/US SEC The Securities and Exchange Commission today announced settled charges against seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede whistleblowers from reporting potential misconduct to the SEC. To settle the SEC’s charges, the companies agreed to pay more […]
Author: InvestAdvocate
SEC Approves a New PCAOB Quality Control Standard
New standard is designed to drive registered public accounting firms to significantly improve their quality control systems September 9, 2024/US SEC The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and forms. QC […]
SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations
Firms made untrue or unsubstantiated claims or lacked required disclosures September 9, 2024/US SEC The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or testimonials, endorsements, or […]
