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    Building a New Knowledge Base
    January 13, 2014

    Highlights from the 2013 NACD Board Leadership Conference

    SEC Charges Alcoa With FCPA Violations
    January 9, 2014

    The Securities and Exchange Commission today charged global aluminum producer Alcoa Inc. with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries repeatedly paid bribes to government officials in Bahrain to maintain a key source ...

    SEC Announces Fraud Charges Against Two Florida-Based Investment Advisers
    November 20, 2013

    The Securities and Exchange Commission today announced charges against two Tampa-area investment advisers accused of committing fraud by failing to truthfully inform clients about compensation received from offshore funds they were recommending as sa...

    Corruption in China and Elsewhere Demands Board Oversight
    July 23, 2013 by

    Business practices in China are widely noncompliant. Anticipating and addressing corrupt activities require both a constancy of board leadership and management awareness.

    How Corporate Fraud Costs You Money: Four Red Flags
    June 17, 2013

    When corporations cook the books, shareholders pay dearly in terms of lost return. Although the Enrons and Worldcoms seem to be behind us, there's always another scandal brewing, even in the post-2008 era.

    SEC Chairman Highlights Commission’s Progress, Future Plans
    March 28, 2013 by

    Elisse Walter discusses topics ranging from diversity to enforcement actions.

    China-Based Company and Former CFO to Pay Penalties for Disclosure and Accounting Violations
    February 28, 2013

    FOR IMMEDIATE RELEASE
    2013-30

    Washington, D.C., Feb. 28, 2013 — The Securities and Exchange Commission today charged a China-based petrochemical company and its former chief financial officer with accounting and disclosure violations, and they a...

    Red Flags Revealed in Filings of Firm Linked to Caterpillar Fraud
    January 24, 2013

    HONG KONG (Reuters) - A Chinese mining equipment company at the centre of an alleged accounting fraud was also involved in a web of insider loans and asset transfers prior to its purchase by Caterpillar Inc., public filings show. The transactions, whil...

    SEC Charges Executives and Auditor of Electronic Game Card Company with Fraud
    November 8, 2012

    FOR IMMEDIATE RELEASE
    2012-223

    Washington, D.C., Nov. 8, 2012 — The Securities and Exchange Commission today charged three executives with repeatedly lying to investors about the operations and financial condition of an Irvine, Calif.-based comp...

    SEC charges Chicago-based investment firm with misleading investors in private equity offerings
    September 18, 2012

    FOR IMMEDIATE RELEASE
    2012-191

    Washington, D.C., Sept. 18, 2012 — The Securities and Exchange Commission today charged the co-founder of a Chicago-based investment firm with misleading investors in two private equity offerings, and charged the o...

    SEC charges CEO with insider trading in secondary offering of company stock
    July 19, 2012

    Washington, D.C., July 19, 2012 – The Securities and Exchange Commission today charged the chairman and CEO of a Santa Ana, Calif.-based computer storage device company with insider trading in a secondary offering of his stock shares with knowledge o...

    Freudian Thinking to Prevent Fraud
    July 6, 2012 by

    A recent fraud prevention program highlighted techniques to prevent and detect white-collar crime, with Crazy Eddie CFO and Jonathan Marks of Crowe Horwath offering insight.

    Three Former Directors at Military Body Armor Supplier Settle SEC Charges
    November 10, 2011

    FOR IMMEDIATE RELEASE
    2011-238

    Washington, D.C., Nov. 10, 2011 – The Securities and Exchange Commission today announced that three former directors have agreed to more than $1.6 million in monetary sanctions to settle charges that they were involved...

    Anton R. Valukas on the Audit Role in Preventing Financial Crises
    April 12, 2011

    The following statement was presented by Anton R. Valukas, the Examiner in the Lehman Brothers bankruptcy case, to the Senate Committee on Banking, Housing and Urban Affairs Subcommittee on Securities, Insurance and Investment on April 6.

    Let the Rule Making Begin
    October 20, 2010 by

    Business historians are hailing the Wall Street Reform and Consumer Protection Act of 2010, a.k.a. Dodd-Frank, as a legislative landmark, and rightly so. Like the Sarbanes-Oxley Act before it, Dodd-Frank expanded government turf even further into the board’s domain.

    Leading Your Compensation Committee through Risk Assessment
    October 13, 2010 by

    Risk assessment of executive compensation plans should become a routine, annual task for every Compensation Committee.

    Coping with Dodd-Frank
    September 1, 2010 by

    With the worst of the financial crisis now behind them, Washington policymakers are turning their attention away from the financial sector and toward businesses in general.

    Security Issues Beyond IT and Into the Boardroom
    April 15, 2010 by
    Boards need to analyze the potential impact a breach could have on the organization.

    An Integrity Checklist for Boards
    April 1, 2010 by
    Signs that the corporate culture has ethics and integrity as high priorities.

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