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FINRA reminded member firms of their supervisory responsibilities for Consolidated Audit Trail compliance.

A recent change by the US Securities and Exchange Commission (SEC) is receiving praise for its thoughtful approach to imposing financial penalties upon corporations. On January 4, Chairman Christopher Cox announced that the SEC had revised the process for determining when to impose a fine on a corporation as a penalty for alleged securities violations.

With the government gearing up for its HIPAA compliance audits, it’s a good time for covered entities and their business associates to do a HIPAA compliance checkup.

The IRS continues to face resource and operational pressures, including staffing declines, leadership turnover, and the demands of implementing major legislation.

On June 1, 2017, the Public Company Accounting Oversight Board (PCAOB) adopted a new standard for auditor's reports that requires a description of "critical audit matters...

SEC Chair Jay Clayton, SEC Chief Accountant Wesley Bricker and Public Company Accounting and Oversight Board ("PCAOB") Chair William D. Duhnke III raised concerns about foreign markets that restrict access to information about U.S.-listed companies operating overseas.

It is important to respond to software audit requests, and if in doubt, request that the auditor establish and prove its right to audit.

The Information Commissioner's Office in the UK (the "ICO") issued its draft guidance on auditing AI technologies.

As the U.S. government enters a new fiscal year as of October 1st, U.S. Customs and Border Protection ("Customs") will begin its process of notifying importers of their selection for and required

Two years ago, a former employee of Card Fact, LLC (subsequently purchased by Card Compliant), a company providing gift card issuance and management services to retailers, filed a false claims action in Delaware...

Agreements often contain clauses allowing the parties to review books and records, "Books and Records" clauses.

Your organization has just received its first federal grant award and everyone is thrilled.

The 2021 report from the Government Accountability Office ("GAO") offers new details on the landscape of Lobbying Disclosure Act ("LDA") compliance and enforcement.

The Department of Education's Office of Inspector General issued the Guide for Compliance Attestations Engagements for Proprietary Schools Expending Higher Education Emergency Relief Fund Grants on March 31.

On January 19, 2023, the Michigan Court of Appeals affirmed two 2022 trial court orders, holding that initiating an unclaimed property audit does not toll the running of the statute of limitations for the Michigan State Treasurer to commence "an action or proceeding" with respect to a duty of a holder.

In May of this year the AICPA released SSAE No. 18, a new Attestation Standard which will be effective for any attestation engagement opinion occurring on or after May 1, 2017.

The American Institute of CPAs recently issued additional guidance for CPAs who perform the independent private sector audit required by the SEC when a company issues a conflict minerals report.