An SEC proposal to facilitate the implementation of the Consolidated Audit Trail ("CAT") was published in the Federal Register. Comments on the proposal must be submitted by October 28, 2019.

In this podcast, Lisa Burton and Leigh Ganchan discuss ICE's increased enforcement activity in recent years.

The SEC announced that the next meeting of the Investor Advisory Committee will be held on January 21, 2016.

To help audit firms navigate and implement the new QC 1000 standard, the Board published (i) a practice aid, (ii) a comparison document of QC 1000 with ISQM 1 and SQMS 1, and (iii) a QC 1000 webinar on its website.

Racial equity audits are one of the latest tools companies are using to gauge their compliance with the social component of environmental, social and governance (ESG).

The SEC will reward more than $450,000 to two individuals for tips that led the SEC to open a corporate accounting investigation.

The SEC extended the time to consider a proposed amendment to the Consolidated Audit Trail ("CAT") National Market System Plan.

During the Tax in the City event held in Dallas, Erin Turley and Allison Wilkerson gave an overview of benefit plan audits and the IRS examination process.

On January 23, 2015, the US Commodity Futures Trading Commission ("CFTC") issued no-action relief for CFTC Regulations 1.10 and 1.17, respectively.

The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC adopted a rule to provide banking organizations with the option to "phase in over a three-year period the day-one" regulatory capital...

The FINRA proposal making non-substantive changes to its Consolidated Audit Trail ("CAT") plan and Rule 409T ("Statements of Accounts to Customers") was published in the Federal Register.

On September 29, the Office of the Comptroller of the Currency released an update to the Bank Accounting Advisory Series.

Financial institutions are experimenting with and implementing robotic process automation (RPA) solutions to improve the customer experience and speed up manual processes.

Day Pitney healthcare attorneys Jim Bowers, Susan Huntington and Eric Fader authored an article, "Brace For HIPAA Audits As They Arrive In Early 2016," for Law360.

CMS is hosting an October 5, 2018 "Provider Compliance Focus Group" meeting to address several Medicare fee-for-service compliance topics, including the Recovery Audit Contractor ...

In this episode, Husch Blackwell's Meg Pekarske and Bryan Nowicki discuss the new wave of CMS Center for Program Integrity (CPI) audits that have been issued during the past couple weeks.

On March 21, the Department of Health and Human Services ("HHS") Office for Civil Rights ("OCR") announced that Phase 2 of the HIPAA Audit Program is underway.

Hawley Troxell attorneys Alycia Moss and Michelle Williams discuss essential strategies for Idaho business owners regarding I-9 audits and ICE enforcement, including how to handle Notices of Inspection...

An information asset audit is fundamental to a robust information security program.

Since the passage of the Tax Cuts and Jobs Act in 2017, the promulgation of regulations amplifying TCJA provisions has led practitioners to shift their attention to potential challenges to the Treasury Department's interpretation of certain statutes.