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12 Jan 2012, 7:48 am
In response, Congress passed the Dodd-Frank Act, which changed vast swathes of financial regulation. [read post]
6 Apr 2012, 11:57 am
· Exemption from the “say on pay” provisions of the Dodd-Frank Act. [read post]
13 Jul 2012, 1:00 am
Dodd-Frank Whistleblower Developments: We are still awaiting the payment of the first whistleblower bound under the Dodd-Frank Act’s whistleblower provisions. [read post]
25 Mar 2016, 6:00 am
Securities & Exchange Commission, on Tuesday, March 22, 2016 Tags: Accounting, Accounting standards, Audit committee, Audits, Disclosure, External auditors, Financial reporting,GAAP, Investor protection, PCAOB, Performance measures, SEC, Securities Regulation, SOX SEC Chair on PCAOB Oversight and 2016 Budget Approval Posted by Mary Jo White, U.S. [read post]
15 Mar 2011, 12:04 pm
While these actions reflect the Commission’s interest in bringing actions against these types of directors, they are consistent with the Commission’s historical practice of pursuing cases against independent directors only when it believes that they personally have engaged in violative conduct or have repeatedly ignored significant red flags One of the actions was brought as an administrative proceeding instead of as a complaint in federal court and illustrates how the… [read post]
14 Apr 2017, 5:58 am
Peregrine, McDermott Will & Emery LLP, on Wednesday, April 12, 2017 Tags: Accounting, Corporate fraud, Disclosure, Dodd-Frank Act, Donald Trump, External auditors, Financial regulation, Financial reporting, Investor protection, Oversight, Sarbanes–Oxley Act, Securities regulation, SOX, SOX Section 404, Transparency Corporations and Human Life Posted by Frank Partnoy, University of San Diego, on Thursday, April 13, 2017 Tags: Accountability, Boards of… [read post]
6 May 2016, 6:15 am
Tahyar, Davis Polk & Wardwell LLP, on Thursday, May 5, 2016 Tags: Banker bonuses, Banks, Compensation regulation, Dodd-Frank Act, Dodd-Frank s.956, Executive Compensation,FDIC, Federal Reserve, FHFA, Incentives, Management, NCUA, OCC, Risk management, Risk oversight, Risk-taking,SEC [read post]
29 Sep 2020, 6:43 am
The Dodd-Frank Act whistleblower reward law has been proven a success. [read post]
20 Sep 2019, 1:30 am
https://wp.nyu.edu/compliance_enforcement/2019/09/16/the-problem-of-algorithmic-corporate-misconduct/ Accounting Firms, Private Funds, and Auditor Independence Rules by David E. [read post]
30 Aug 2013, 4:04 am
The new proposal revises a proposed rule the agencies issued in 2011 to implement the risk retention requirement in Dodd-Frank. [read post]
13 Oct 2011, 5:02 am
These are not the grand, sweeping changes of Dodd-Frank. [read post]
4 Nov 2010, 4:49 am
We are posting memos on the decision in our "Auditor Liability" Practice Area [read post]
25 Apr 2012, 5:00 am
See Essay: The Politicization of Corporate Governance: Bureaucratic Discretion, the SEC, and Shareholder Ratification of Auditors. [read post]
22 Jun 2018, 6:01 am
Gerard Comizio, Fried, Frank, Harris, Shriver & Jacobson LLP, on Monday, June 18, 2018 Tags: Banks, Capital requirements, Compliance and disclosure interpretation, Dodd-Frank Act, FDIC, Federal Reserve, Financial institutions, Financial regulation, Liquidity, Mutual funds, OCC, Proprietary trading, Volcker Rule T. [read post]
9 Nov 2010, 7:44 am
Securities and Exchange Commission (“SEC”) proposed a rule to implement the new whistleblower program mandated by Section 922 of the Dodd-Frank Act. [read post]
22 Oct 2012, 1:36 am
Under the Dodd-Frank Act, the SEC now requires hedge fund managers and other advisers of private equity funds to register with the agency, many for the first time. [read post]
15 Feb 2012, 4:12 am
Here are some of the latest entries: - NACD's New Blue Ribbon Commission Report on Lead Directors - Corp Fin Allows Exclusion of GE Auditor Rotation Proposal - SEC Republishes Revised FINRA Proposal to Require the Filing of Private Placements - Sentencing Commission Acts on Dodd-Frank - Q&A with Governance Expert Bob Monks - Broc Romanek [read post]
31 Mar 2020, 9:32 am
American qui tam whistleblower reward laws, such as the Dodd-Frank Act, generally apply to all publicly-traded companies, regardless of their country of incorporation or operation. [read post]
21 Nov 2010, 1:59 pm
Crupi supervised some lower-level BMIS employees and worked closely with Frank DiPascali, another high-level BMIS supervisor charged by the SEC. [read post]
13 Jul 2010, 11:00 am
The Dodd-Frank Wall Street Reform Act (DFA) contained several provisions related to executive compensation. [read post]
