The SEC has filed its first-ever enforcement action involving rating symbol deficiencies, hitting Moody’s Investors Service with $16.25 million in penalties to settle charges involving internal ...

On August 28, 2018, the Securities and Exchange Commission (“SEC”) announced two settlements with a rating agency (the “Company”) over allegations that it failed to maintain adequate internal controls ...

In this blog post I continue my exploration of how you should assess your compliance internal controls using the Committee of Sponsoring Organization of the Treadway Organization (COSO), publication ...

The following is a written comment submitted to the Securities and Exchange Commission in connection with its proposed rule modifying the standards for internal controls under Section 404 of ...

Internal controls encompass all the methods and procedures that an organization adopts to protect its facilities, assets and property. In a broad sense, internal controls make it possible for an ...

MONTVALE, NJ / ACCESSWIRE / July 6, 2022 / The purpose and effectiveness of internal control are being tested like never before by myriad external pressures, reveals a new report from ACCA (the ...