Search for: "Frank Auditore"
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6 Oct 2014, 8:31 am
The group also has increased awareness among companies and auditors that the SEC is closely focusing on the quality of their financial reports and audits.She noted that the Commission also established a Microcap Fraud Task Force to increase its efforts to eliminate fraud in the microcap industry. [read post]
23 Feb 2012, 4:08 am
The coalition criticized the auditor attestation exemption and noted that say-on-pay votes have nothing to do with eliminating barriers to new IPOs. [read post]
3 Nov 2010, 4:22 am
In a letter to House Financial Services Committee Chair Barney Frank and Ranking Member Spencer Bachus, PCAOB Acting Chair Dan Goelzer asked for legislation amending Sarbanes-Oxley so that Board disciplinary hearing against individual auditors and accounting firms will be public. [read post]
25 Feb 2022, 6:01 am
Performance Proposed Rules Posted by Daniel Laddin and Louisa Heywood, Compensation Advisory Partners, on Friday, February 18, 2022 Tags: Compensation disclosure, Dodd-Frank s.953, Executive Compensation, Incentives, Pay for performance, SEC, SEC rulemaking, Securities regulation Converting to a Delaware Public Benefit Corporation: Lessons from Experience Posted by Amy L. [read post]
23 Oct 2020, 12:14 pm
The SEC Whistleblower Program was established with the passage of the Dodd-Frank Act in 2010. [read post]
8 Aug 2013, 10:26 am
Dodd-Frank authorized the SEC to impose a fiduciary standard on broker-dealers but to date the SEC has only taken an investigative approach. [read post]
14 May 2017, 2:24 pm
The bill would create an exemption from auditor internal control attestation requirements for companies with total market capitalization under $500 million and for depositary institutions with assets under $1 billion. [read post]
29 Apr 2021, 6:00 am
Auditors are notoriously subjected to pressure to water down their results. [read post]
8 Jun 2012, 4:08 pm
Areas were identified where findings were common to a number of jurisdictions, such as auditor professional skepticism, group audits, revenue recognition, testing of internal controls, and auditor independence. [read post]
15 Feb 2010, 4:46 pm
Amici emphasized that, in the wake of corporate accounting scandals, auditors are asking their corporate clients for a broader range of documents, including privileged documents, than ever before in this country’s history.In addition, corporations’ in-house and outside lawyers often respond to auditor inquiries about threatened litigation and its potential impact on the financial statements. [read post]
29 Jun 2022, 1:31 pm
Somers, a whistleblower must contact the SEC directly in order to qualify for the whistleblower protections of the Dodd-Frank Act. [read post]
12 Aug 2011, 9:02 am
• Issue Number 2: The final rules recognize that in most instances, attorneys, compliance personnel and external auditors should not be allowed to become whistleblowers. [read post]
24 Feb 2012, 4:49 am
These companies also would be spared from Sarbanes-Oxley's requirement to hire an outside auditor to attest to the sufficiency of their internal financial controls. [read post]
1 Aug 2012, 2:04 pm
James Casey Jr. of Waltham and Frank Basile of Belmont face charges of larceny and fraud as of May 2012. [read post]
12 Feb 2016, 6:03 am
Schwenkel, Fried, Frank, Harris, Shriver & Jacobson LLP, on Thursday, February 11, 2016 Tags: Boards of Directors, Charter & bylaws, Deal protection, Delaware cases, Delaware law, Director nominations,Engagement, Entrenchment, Proxy contests, Settlements, Shareholder activism, Shareholder suits, Shareholder voting,Takeover defenses, Unocal standard Top M&A Developments and Trends for 2016 Posted by Barbara L. [read post]
25 Jul 2017, 3:00 am
Is auditor attestation, for all but the very largest companies, about to hit the dust? [read post]
12 Feb 2016, 6:03 am
Schwenkel, Fried, Frank, Harris, Shriver & Jacobson LLP, on Thursday, February 11, 2016 Tags: Boards of Directors, Charter & bylaws, Deal protection, Delaware cases, Delaware law, Director nominations,Engagement, Entrenchment, Proxy contests, Settlements, Shareholder activism, Shareholder suits, Shareholder voting,Takeover defenses, Unocal standard Top M&A Developments and Trends for 2016 Posted by Barbara L. [read post]
18 Jan 2010, 10:26 am
These consequences obstruct the full and frank disclosure of financial information that the securities laws envision. [read post]
16 Jan 2012, 8:09 pm
This approach has been used in several prior instances, including: the requirement for the inclusion of XBRL (eXtensible Business Reporting Language) data files in corporate filings; and the requirement, pursuant to Section 404 of the Sarbanes-Oxley Act, for an independent auditor’s report on the effectiveness of internal controls over financial reporting (although the requirement for smaller companies was eliminated by Dodd-Frank). [read post]
15 Jun 2010, 1:49 pm
Frank’s press release didn’t address whether House members will seek to put that exemption into the final legislation.Frank’s release said that House Democrats would seek to add a permanent exemption for small issuers (with less than $75 million in market capitalization) from the outside auditor attestation requirements of Section 404(b) of the Sarbanes-Oxley Act. [read post]
