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HTMLSEC Sanctions Three Issuers for Failing to Timely Disclose Equity Issuances
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
In the last week of September, the SEC Enforcement division brought three separate enforcement actions against companies for failure to timely report issuances of unregistered equity securities on Form 8-K and Form 10-Q. The actions are similar to the 10 enforcement actions brought by the SEC in...

 

HTMLRecent SEC Comment Letter Provides Insight to SEC’s Current Views on Non-GAAP Measures
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
A recently released SEC comment letter provides issuers additional insight into the views of the staff of the Division of Corporation Finance on the use of certain non-GAAP financial measures. The comment letter, issued in July 2016, questioned whether certain of the issuer’s non-GAAP...

 

HTMLSEC Sanctions Company for Misrepresentation of Performance Metrics
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
In the last week of September, the SEC Enforcement division brought three separate enforcement actions against companies for failure to timely report issuances of unregistered equity securities on Form 8-K and Form 10-Q. The actions are similar to the 10 enforcement actions brought by the SEC in...

 

HTMLRecently Issued Accounting Standards - The SEC’s View on Disclosure
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
The SEC staff recently addressed best practices for financial statement disclosure in periods leading up to the adoption of recently issued accounting standard updates, or ASUs. In particular, the SEC staff commented on the application of Staff Accounting Bulletin (SAB) Topic 11.M “Disclosure...

 

HTMLEnd of Tandy Representations
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
On Oct. 5, 2016, the Division of Corporation Finance announced that, effective immediately, they will no longer require issuers to include “Tandy” representations in responses to SEC comment letters. Tandy representations, which have been required in all such response letters since...

 

HTMLSEC Update on Proxy Access
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
On Sept. 27, 2016, the staff of the Division of Corporation Finance issued three no-action letters in response to requests to exclude shareholder proxy access proposals on the basis that the companies had already “substantially implemented” the proposals.

 

HTMLUK to Implement Fourth Money Laundering Directive, Presenting an Opportunity for the Gaming Sector to Provide Input
Lisa Navarro; Greenberg Traurig Maher LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
The current EU Money Laundering and Terrorist Financing (ML/TF) measures are contained in the Third Money Laundering Directive (3MLD). 3MLD was implemented into UK law by the Money Laundering Regulations 2007, the Proceeds of Crime Act 2002, and the Terrorism Act 2000. These Regulations promote a...

 

HTMLToo Close For Audit Comfort: SEC Announces First Enforcement Actions for Auditor Independence Failures due to Close Personal Relationships
Greenberg Traurig LLP;
Legal Alert/Article
October 17, 2016, previously published on October 3, 2016
On Sept. 19, 2016, the SEC announced that a national accounting firm, without admitting or denying the findings, agreed to pay $9.3 million to settle first-of-its-kind charges that two of its former audit partners had “close personal relationships” with public company clients in...

 

HTMLSEC Provides Guidance on “Brokerage Windows” in 401(k) Plans
Greenberg Traurig LLP;
Legal Alert/Article
October 17, 2016, previously published on October 3, 2016
Current 401(k) plans often allow participants to purchase and sell securities, including issuer securities, on the open market through “brokerage windows”. On Sept. 22, 2016, the SEC issued a CDI stating that the registration of these issuer securities will depend on the degree and type...

 

HTMLSEC Brings Action Against General Counsel For Failure to Disclose and Accrue a Loss Contingency
Greenberg Traurig LLP;
Legal Alert/Article
October 17, 2016, previously published on October 3, 2016
The SEC recently brought an enforcement action against a company and its general counsel for failure to timely disclose, or record an accrual for, a loss contingency relating to an ongoing government investigation. Under GAAP, a public company must disclose a loss contingency when a material loss...

 


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