10 Great Investing Tips from the SEC

Posted by Teresa Bockwoldton December 28, 2016

This is a great email alert that came out today from the SEC:

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Tags: Accounting Tip of the Day, Securities and Exchange Commission, SEC, Investments

COSO 2013 Tips: How your 10-K language will change....

Posted by Teresa Bockwoldton May 16, 2014

Here's a quick tip on how your 10-K language may need to change to represent your compliance with the new COSO 2013 standards / Sarbanes-Oxley. Remember, this is due by 12/15/2014, it is not optional, and if you directly reference the 1992 guidance like most companies do, you will need to make this edit.

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Tags: Sarbanes-Oxley Articles & Information, Accounting Tip of the Day, Securities and Exchange Commission, Sarbanes-Oxley Training, Sarbanes-Oxley, COSO, COSO 2013, SEC

SEC Charges Florida Woman Behind Ponzi Scheme

Posted by Juliette Gibsonon October 4, 2013

The SEC charged Jenny Copland of South Florida with defrauding investors in a Ponzi Scheme targeting the local Colombian-American community by telling investors that her company Immigration General Services operated through an investment broker that would invest the money she raised in immigration bail bonds and turn a profit.

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Tags: Securities and Exchange Commission, Ponzi Scheme, fraud, SEC

Failed Audits of China-Based Company Lead to SEC Charges

Posted by Juliette Gibsonon October 2, 2013

Since our Vibato® Internal Control Suite® tools are available in Mandarin and our products have been being sold in China for several years, we are always interested in news surrounding SEC audits there. It is unfortunate to see a US-based auditing firm failing their clients and helping to continue the negative press China companies often receive while trying to comply with SEC standards. 

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Tags: audit, Securities and Exchange Commission, financial reporting, Compliance in China, SEC, SEC fines, audit deficiency

China Based Executives Charged with Fraud and Insider Trading

Posted by Juliette Gibsonon September 27, 2013

The SEC has charged the former CEO of ChinaCast Education Corporation with stealing tens of millions of dollars from investors and the former president with illegally dumping stock after helping to steal company assets.  Read more here. 

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Tags: Securities and Exchange Commission, fraud, SEC, insider trading