Public Company Accounting Oversight Board (PCAOB) Enforcement Activity—2023 Year in Review
The Public Company Accounting Oversight Board (PCAOB) expanded its enforcement activity to the highest level since 2017.
SEC Accounting and Auditing Enforcement Activity—Year in Review: FY 2023
The SEC expanded its accounting and auditing enforcement activity in fiscal year 2023, while monetary settlements dropped for the second consecutive year.
Spike in Fourth Quarter SEC Accounting and Auditing Enforcement Activity Results in Notable Increase in FY 2023
In contrast, total monetary settlements were just over half of the average total settlements in the past five years.
SEC Enforcement Actions Against Public Companies and Subsidiaries Jump in FY 2023
Total monetary value of settlements fell to lowest level in last eight fiscal years.
SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2023 Update
The SEC filed 91 enforcement actions against public companies and subsidiaries in fiscal year 2023, a 34% increase over FY 2022.
Tips for Making the Most of Blockchain Analysis
The authors outline how to understand blockchain data and discuss the SEC’s focus on blockchain transactions.
Banking Industry
A look at recent events in the banking industry, what is new and what is familiar.
Public Company Accounting Oversight Board (PCAOB) Enforcement Activity—2022 Year in Review
PCAOB disclosed 29 disciplinary actions involving the performance of an audit and/or a firm’s system of quality control, up 61%.
SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2022 Update
The SEC filed 68 enforcement actions against public companies and subsidiaries in the first full fiscal year of Chair Gary Gensler’s tenure.
SEC Ramps Up Enforcement against Public Companies and Subsidiaries in FY 2022
The SEC imposed $2.8 billion in monetary settlements, the largest total in any fiscal year recorded in the Securities Enforcement Empirical Database.
The Gensler SEC: What to Expect in 2022
Since Gary Gensler became chair of the SEC in April 2021, his agency has signaled an active agenda that many expect will be aggressively enforced.
René Stulz Honored in Special Edition of Journal of Applied Corporate Finance
Professor Stulz’s articles are republished in a special edition of the journal, which highlights his more than four decades of research on globalization, corporate finance, and risk management.
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