• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Ankura 480x60
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / Books and records

Books and records

SEC hits Cardinal Health with accounting violations | CFO Dive

By Securities Docket on March 4, 2020, 9:50 am

Ohio-based pharmaceutical company Cardinal Health will pay more than $8 million to resolve charges it violated the books, records and internal accounting controls provisions of the Foreign Corrupt Practices Act, the SEC announced Monday. Cardinal’s internal accounting controls were insufficient to detect improper payments made by employees of its former Chinese subsidiary, the SEC said. […]

Posted in SEC, Top | Tagged Books and records

Special ‘chairman’s flight’ leads to SEC action against United Airlines | Compliance Week

By Securities Docket on December 2, 2016, 3:03 pm

The SEC announced an unusual and interesting administrative proceeding today against United Continental Holdings, Inc., the parent company of United Airlines. According to the SEC’s order, United reinstated a money-losing nonstop flight between Newark, N.J., and Columbia, S.C., to accommodate David Samson, the then-chairman of the Port Authority of New York and New Jersey. The SEC […]

Posted in SEC, Top | Tagged Books and records

Beware the SEC’s Sweeping Definition of Books, Records | Corporate Counsel

By Securities Docket on August 21, 2015, 9:29 am

The federal securities laws require public companies to make and keep detailed and accurate “books, records, and accounts.” One might assume that a securities law relating to books and records covers materials used in the preparation of financial statements. But in practice, the U.S. Securities and Exchange Commission applies a much broader definition that seems […]

Posted in SEC, Top | Tagged Books and records

Subscribe

‘Enforcement 40’ for 2020

Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2022 Securities Docket.

Powered by WordPress and Hybrid.