Search for: "Frank Auditore"
Results 141 - 160
of 481
Sort by Relevance
|
Sort by Date
3 Feb 2017, 6:04 am
Fagel, Gibson, Dunn & Crutcher LLP, on Thursday, February 2, 2017 Tags: Accounting, Broker-dealers, Clawbacks, Disclosure, Dodd-Frank Act, External auditors, Financial reporting, Hedge funds, Insider trading, Investment advisers, Misreporting, Municipal securities, Pension funds, SEC enforcement, Securities enforcement, Securities fraud, Whistleblowers Are Top Investors Listening to Proxy Advisors on Pay? [read post]
14 Oct 2016, 6:05 am
Bachelder III, McCarter & English LLP, on Thursday, October 13, 2016 Tags: Accounting, Banks, Bonuses, Clawbacks, Disclosure, Dodd-Frank Act, Equity-based compensation, Executive Compensation, Financial institutions, Incentives, Management, Misconduct, Pay for performance, Risk management,Sarbanes–Oxley Act [read post]
29 Sep 2016, 9:00 am
Read More › Tags: Dodd-Frank Act, Sarbanes-Oxley Act, Termination With or Without Cause, Whistleblowers [read post]
22 Jul 2016, 10:34 am
Croteau provided advice and assistance on internal control, audit, and auditor independence matters to support the Commission’s advancement of numerous rulemaking projects under the Dodd-Frank and JOBS Acts.Mr. [read post]
15 Jul 2016, 6:22 am
Harris, Public Company Accounting Oversight Board, on Tuesday, July 12, 2016 Tags: Accountability, Accounting, Accounting standards, Audits, Boards of Directors, Compliance & ethics, Diversity, ESG,External auditors, Financial reporting, Investor protection, Oversight, Securities regulation, SOX, Sustainability,Transparency The Law and Brexit Posted by Thomas J. [read post]
8 Jul 2016, 6:14 am
Mendelsohn, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Monday, July 4, 2016 Tags: Anti-corruption, China, Compliance & ethics, Disgorgement, DOJ, FCPA, Foreign firms, Internal auditors,International governance, Misconduct, Non-prosecution agreement, SEC, SEC investigations, Voluntary Disclosure Does Combining the CEO and Chair Roles Cause Poor Firm Performance? [read post]
28 Jun 2016, 3:13 am
I’ll be blogging about the circumstances that likely leads to rulemaking in seriatim in the near future…#headfake Financial Choice Act: Discussion Draft I recently blogged about how a House bill – the “Financial Choice Act” – would unwind much of Dodd-Frank & more. [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [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]
22 Apr 2016, 3:37 am
As I blogged yesterday on CompensationStandards.com, the banking regulators are finally rolling out a permanent proposal under Dodd-Frank’s Section 956 regarding excessive incentive pay. [read post]
22 Apr 2016, 3:37 am
As I blogged yesterday on CompensationStandards.com, the banking regulators are finally rolling out a permanent proposal under Dodd-Frank’s Section 956 regarding excessive incentive pay. [read post]
14 Apr 2016, 1:54 pm
And Sarbanes-Oxley Section 404 (as amended by the Dodd-Frank Act) requires, among other things, that: (i) company management assess and report on the effectiveness of the company’s internal control over its financial reporting, and (ii) the company’s independent auditors verify management’s disclosures. [read post]
8 Apr 2016, 6:09 am
Kess & Yafit Cohn, Simpson, Thacher & Bartlett LLP, on Friday, April 1, 2016 Tags: Accounting, Accounting standards, Audits, Financial reporting, Internal auditors, PCAOB, SEC, SEC enforcement,Securities Regulation Rule 144: Resale of REIT Shares in Exchange for OP Units Posted by Daniel P. [read post]
8 Apr 2016, 6:09 am
Kess & Yafit Cohn, Simpson, Thacher & Bartlett LLP, on Friday, April 1, 2016 Tags: Accounting, Accounting standards, Audits, Financial reporting, Internal auditors, PCAOB, SEC, SEC enforcement,Securities Regulation Rule 144: Resale of REIT Shares in Exchange for OP Units Posted by Daniel P. [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 2016, 1:07 am
" Many crew member who accurately log their long hours into the electronic time systems have their real hours worked changed by managers to comply with the MLC2006 auditors hired by the Carnivals and Royal Caribbeans. [read post]
13 Mar 2016, 9:01 pm
Recent bills of the 131st General Assembly (See https://www.legislature.ohio.gov/) pending in the Ohio House and Ohio Senate related to real property are as follows:------------------------------------------------------------------------------------------------------------House Bill 77General Assembly: 131Short Title: Home improvement contractors-statewide registration Long Title: To amend sections 4740.01, 4740.02, 4740.03, 4740.04, 4740.05, 4740.06, 4740.061,… [read post]
3 Mar 2016, 7:49 am
The basis for the CFPB’s action is the Dodd-Frank Wall Street Reform and Consumer Protection Act, which grants the CFPB authority to enforce against companies that engage in unfair, deceptive, or abusive acts or practices when offering consumer financial products or services. [read post]
23 Feb 2016, 7:36 am
Margaret McGuire, Chief of the Financial Reporting and Audit Group, stressed that the Commission will continue to look at auditors’ conduct in financial reporting fraud cases as well. [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]
