SEC Imposes Civil Penalties for Ongoing Violations Relating to Internal Control Over Financial Reporting

SEC Imposes Civil Penalties for Ongoing Violations Relating to Internal Control Over Financial Reporting


By: Lee T. Barnum, Una A. Dean, Brian B. Margolis, Evan Ewing

On January 29, 2019, the Securities and Exchange Commission announced cease-and-desist orders and monetary penalties in connection with four civil enforcement actions against issuers relating to ongoing failures to comply with the rules relating to internal control over financial reporting.

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