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.
Accounting and Auditing Enforcement Activity—2021 Review and Analysis
In a year characterized by leadership transitions at the SEC and the PCAOB, overall accounting and auditing enforcement activity decreased.
SEC Accounting and Auditing Enforcement Activity Fell Sharply in 2021
PCAOB enforcement levels remained low.
Lynda Schwartz Named a 2021 Forensic & Litigation Services Volunteer of the Year
The American Institute of CPAs honored Professor Schwartz for her significant contributions to the practice and profession of forensic accounting and valuation.
SEC Actions against Public Companies and Subsidiaries Declined Again in FY 2021
Monetary settlements imposed in FY 2021 totaled $1.8 billion.
SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2021 Update
The U.S. Securities and Exchange Commission filed fewer enforcement actions against public companies and subsidiaries in fiscal year 2021, the lowest total in seven years.
Accounting and Auditing Enforcement Activity—2020 Review and Analysis
The SEC and PCAOB publicly disclosed 63 accounting and auditing enforcement actions during 2020. Monetary settlements totaled more than $1.4 billion.
Former SEC Officials Predict SEC Priorities
The author discusses potential changes to disclosure and enforcement policies at the Securities and Exchange Commission under the Biden administration.
Cross-Market Manipulation Under the Microscope
The authors discuss illustrative cross-market manipulation enforcement cases and their implications for market participants in the EU, UK and US.
Financial Reporting Investigation Following SEC Inquiry
Cornerstone Research was retained by counsel for an investigation into an entity’s financial statement close and reporting process in response to issues raised by the SEC.
Revenue and Financial Reporting Internal Investigation
Cornerstone Research analyzed accounting and business records for a healthcare-related company.
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