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Home » Topics » Regulatory » SEC

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Three China firms named to US SEC list under HFCAA

March 15, 2022
Three U.S.-listed China-based biopharmas were among five companies named this week by the U.S. SEC for reportedly failing to submit necessary accounting reports under the Holding Foreign Companies Accountable Act (HFCAA).
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SEC identifies firms for tougher audits, including three biopharmas

March 15, 2022
By Gina Lee
The U.S. Securities and Exchange Commission (SEC) recently issued a provisional list of five U.S.-listed Chinese companies that reportedly failed to submit necessary accounting reports required under Holding Foreign Companies Accountable Act. The list included three biopharmas: Beigene Ltd., Hutchmed Ltd., and Zai Lab Ltd.
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SEC identifies firms for tougher audits, including three biopharmas

March 14, 2022
By Gina Lee
The U.S. Securities and Exchange Commission (SEC) recently issued a provisional list of five U.S.-listed Chinese companies that reportedly failed to submit necessary accounting reports required under Holding Foreign Companies Accountable Act. The list included three biopharmas: Beigene Ltd., Hutchmed Ltd., and Zai Lab Ltd.
Read More

Three China firms named to US SEC list under HFCAA

March 11, 2022
Three U.S.-listed China-based biopharmas were among five companies named this week by the U.S. SEC for reportedly failing to submit necessary accounting reports under the Holding Foreign Companies Accountable Act (HFCAA).
Read More
Cybersecurity data lock

SEC proposes rules on disclosure of cybersecurity risks

March 9, 2022
By Mari Serebrov
If the U.S. SEC goes forward with amendments it proposed March 9 to enhance and standardize cybersecurity-related disclosures, public biopharma and med-tech companies will have more reporting to do.
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U.S. Securities and Exchange Commission

Former Pavmed employee hit with fine for insider trading

Feb. 23, 2022
By Mark McCarty
John-Michael Havrilla, formerly the director of investor relations at Pavmed, has agreed to pay $160,000 in civil penalties over allegations he used inside knowledge of an impending earnings report to help himself to $80,000 in ill-gained profits, a sure sign the SEC is not ignoring med-tech firms in its pursuit of insider trading charges.
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Globe and currency symbols

Baxter agrees to $18M US SEC settlement over foreign exchange practices

Feb. 23, 2022
By Mari Serebrov
The U.S. SEC reported a settlement Feb. 23 with Baxter International Inc. and its former treasurer, Scott Bohaboy, and former assistant treasurer, Jeffrey Schaible, resolving charges involving years of improper intra-company foreign exchange transactions that resulted in the misstatement of Baxter’s net income.
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Document illustration

US SEC: More risk disclosure needed from China-based companies

Dec. 21, 2021
By Mari Serebrov
Citing recent events that highlighted the risks of investing in companies based in China or that have the majority of their operations there, the U.S. SEC’s Division of Corporation Finance is seeking more specific disclosures from those companies about the legal and operational risks of investing in their securities.
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SEC files charges against trial investigator, Russian nationals

Dec. 20, 2021
By Mari Serebrov
A lead clinical trial investigator for Five Prime Therapeutics Inc.’s flagship cancer drug, bemarituzumab, is facing SEC and criminal charges related to insider trading.
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China and U.S. flags

Tighter regulations may cause Chinese companies to list closer to home

Dec. 15, 2021
By Zhang Mengying
With the U.S. Securities and Exchange Commission (SEC) and Cyberspace Administration of China (CAC) imposing stricter regulatory requirements on listing companies, more Chinese companies are likely to decide to list on stock exchanges closer to home.
Read More
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