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Article
Recent Enforcement Action Serves as a Reminder of the Need to Complete Audit Firm Review of Interim Financial Statements Before Filing Form 10-Q
On Friday, the Securities and Exchange Commission announced that it had settled enforcement actions against five companies for violating the Regulation S-X requirement that interim financial statements included in quarterly reports on Form 10-Q be ..
United StatesAccounting and Audit
WilmerHale
Article
SEC Chief Accountant Emphasizes Importance Of Auditor Independence
In remarks before the 36th Annual SEC and Financial Reporting Institute Conference, SEC Chief Accountant Wesley Bricker emphasized the importance of effective financial reporting and auditor independence.
United StatesAccounting and Audit

Hogan Lovells Cadwalader

California's OAL Finalizes CPRA Regulations

On March 30, 2023, the California Privacy Protection Agency (CPPA) announced that its rulemaking package to implement the California Consumer

United StatesConsumer Protection

Audit Reform – Government Abandons Plans To Consult On Reforms

After numerous consultation papers, and despite being included in the King's Speech in July 2024, the government has confirmed in a letter to the chair of the Business and Trade Committee...

United StatesCorporate/Commercial Law

Herbert Smith Freehills Kramer LLP

Federal Register: SEC Requests Comments On Process To Add IEX As Plan Participant

The SEC requested comment on an amendment ("Amendment 4") to a joint industry plan governing the process of selecting a plan processor and developing a plan for the Consolidated Audit Trail.

United StatesCorporate/Commercial Law

Hogan Lovells Cadwalader

New Standard For B-D Audits

The PCAOB adopted two attestation standards relating to auditors’ examinations and reviews of broker-dealer compliance and examination reports.

United StatesCorporate/Commercial Law

Fox Rothschild LLP

NYSE Seeks To Extend Internal Audit Transition Period To Five Years

The New York Stock Exchange has proposed extending the timeline for newly public companies to establish internal audit functions from one year to five years post-listing.

United StatesCorporate/Commercial Law

Goodwin Procter LLP

Sarbanes-Oxley... It's Not 2002

Actually, maybe it's a misprint and the article was written in 2002, not 2022. Oddly, the notion of auditor independence has become a very hot topic with the SEC after 20 years of Sarbanes-Oxley enactment.

United StatesCorporate/Commercial Law

Ankura Consulting Group LLC

SEC Approves PCAOB New Auditing Standard Requiring Communication Of 'Critical Audit Matters'

On October 23, 2017, the Securities and Exchange Commission approved new auditing standards for the Public Company Accounting Oversight Board, which had been proposed on July 19, 2017.

United StatesCorporate/Commercial Law

SEC Enforcement In Financial Reporting And Disclosure—2018 Mid-Year Update

Chairman Jay Clayton's vision for the Securities and Exchange Commission has largely shaped the first half of 2018

United StatesCorporate/Commercial Law

SEC Proposes Updates To Auditor Independence Rules

On 30 December 2019, the SEC issued a rulemaking proposal to codify positions taken by the SEC staff in consultations and modernise certain aspects of the SEC's auditor independence rules,...

United StatesCorporate/Commercial Law

SEC Provides Update On CAT Implementation Delays

SEC Division of Trading and Markets (the "Division") Director Brett Redfearn issued an update on implementation of the Consolidated Audit Trail ("CAT").

United StatesCorporate/Commercial Law

Hogan Lovells Cadwalader

Senator Introduces Bill To Protect PII

Senator John Kennedy (R-LA) introduced the "Protecting Investors' Personally Identifiable Information Act."

United StatesCorporate/Commercial Law

Hogan Lovells Cadwalader

Seattle Regional Managing Partner Encourages Employers To Prepare For ICE Audits

In his bylined piece for Seattle Business Magazine titled "ICE Turns up the Heat," Davis C. Bae discusses what employers must do to be prepared for immigration audits.

United StatesEmployment and HR

Fisher Phillips LLP

Workplace Strategies Watercooler: Conducting A Personnel Audit In California—A Step-by-Step Guide

In this podcast, recorded live at Workplace Strategies 2022, Ogletree Deakins' national labor and employment law seminar for human resources professionals and in-house counsel,...

United StatesEmployment and HR

Ogletree, Deakins, Nash, Smoak & Stewart

Update: eDisclosure Is Open For Business

EPA just announced that its eDisclosure system for reporting environmental audit disclosures and corrections is open for business as of December 9, 2015.

United StatesEnvironment

Dickinson Wright PLLC

Broker-Dealer Fined For OATS Reporting Failures

A broker-dealer settled FINRA charges of Order Audit Trail System ("OATS") reporting violations.

United StatesFinance and Banking

Hogan Lovells Cadwalader

Broker-Dealer Settles Charges Of OATS-Related Violations

A broker-dealer agreed to pay $450,000 to settle FINRA charges for failing to establish and maintain an adequate supervisory system to comply with Order Audit Trail System ("OATS") reporting obligations.

United StatesFinance and Banking

Hogan Lovells Cadwalader

Broker-Dealer Settles FINRA Charges For OATS Reporting Inaccuracies

A broker-dealer settled FINRA charges for Order Audit Trail System ("OATS") reporting violations.

United StatesFinance and Banking

Hogan Lovells Cadwalader

FINRA Revises Sanctions Guidelines

FINRA's National Adjudicatory Council revised its Sanctions Guidelines to include Consolidated Audit Trail System reporting violations guidelines.

United StatesFinance and Banking

Hogan Lovells Cadwalader

Showing 61–80 of 2126 results

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