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Items tagged with "Enforcement"

Inline XBRL bolstering SEC investigations

In a recent article for Bloomberg, legal analyst Kate Azevedo provides some keen insights into the US Securities and Exchange’s (SEC) expanded use of XBRL tagging to enhance enforcement.

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SEC cracking down on ESG reporting misconduct with Climate and ESG Task Force

The US Securities and Exchange Commission (SEC) has recently pursued several high-profile enforcement actions, accusing companies of fraudulently misleading investors about ESG-related issues.

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A closer look at ESMA’s corporate reporting enforcement

The European Securities and Markets Authority (ESMA) has published its 2022 Corporate Reporting Enforcement and Regulatory Activities Report, outlining activities related to financial and non-financial information, and European Single Electronic Format (ESEF) reporting.

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SEC boosts Crypto Assets and Cyber Unit

We were interested to note that the US Securities and Exchange Commission (SEC) has “nearly doubled” the size of its Crypto Assets and Cyber Unit (formerly simply the Cyber Unit), part of its Division of Enforcement.

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UK FRC takes the reins on audit

The UK’s Financial Reporting Council (FRC) is on course to significantly strengthen its oversight of audit.

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Bank of England bares teeth with regulatory reporting fine

In news that may catch the attention of doubters when it comes to investing in regulatory reporting, the Bank of England’s Prudential Regulation Authority (PRA) recently fined Metro Bank 5.38 million pounds (just over 7 million dollars) for failures in its regulatory reporting.

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ESMA announces enforcement priorities

The European Securities and Markets Authority (ESMA) has released its annual Public Statement on European Common Enforcement Priorities. This sets out priority issues that ESMA, together with national enforcers, will pay particular attention to in assessing listed companies’ annual reports for 2021.

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SEC committee endorses tighter oversight of SPAC disclosures

In a unanimous recent vote, the Investor Advisory Committee (IAC) of the US Securities and Exchange Commission (SEC) has recommended stricter regulation of special purpose acquisition companies (SPACs).

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Singapore’s SGX RegCo to expand enforcement powers

Singapore Exchange Regulation (SGX RegCo) set to expand its range of enforcement powers from 1 August, in an interesting development that aims to reinforce Singapore’s capital markets, reduce malfeasance and enhance protection for investors.

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Comparing financial crises

Admittedly, one for the financial regulators! Those who fail to learn from history are condemned to repeat it… and this is certainly true in relation to financial crises.

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