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28 Oct 2010, 11:40 am
Section 989G affords small issuers an exemption from the internal controls auditor attestation requirement of Section 404(b) of the Sarbanes-Oxley Act. [read post]
1 Jan 2011, 1:26 pm
Section 989G of Dodd-Frank was co-authored by Rep. [read post]
21 Nov 2017, 11:23 am
” Not only would the group benefiting from that clause be exceedingly small, it generally would exclude attorneys and auditors required to report internally before turning to the commission. [read post]
9 Aug 2010, 5:14 am
The Future of NYSE Rule 452 after Dodd-Frank I am at the ABA Annual Meeting in San Francisco, and, not surprisingly, the conversation at the meetings is dominated by the Dodd-Frank Act. [read post]
15 Nov 2021, 11:34 am
The post Frank Vogl’s Book on Enablers Underscores the Link between Corruption and Democracy appeared first on IELR Blog. [read post]
15 Nov 2021, 11:34 am
The post Frank Vogl’s Book on Enablers Underscores the Link between Corruption and Democracy appeared first on IELR Blog. [read post]
27 Mar 2014, 10:11 am
This seminar is intensive training for intermediate as well as seasoned compliance specialists, internal auditors, attorneys, and regulators that focuses on current compliance topics, new rules or interpretations and regulatory developments, including a Dodd-Frank regulatory update. [read post]
27 Mar 2014, 10:11 am
This seminar is intensive training for intermediate as well as seasoned compliance specialists, internal auditors, attorneys, and regulators that focuses on current compliance topics, new rules or interpretations and regulatory developments, including a Dodd-Frank regulatory update. [read post]
2 Jul 2010, 5:29 pm
To begin this process, the PCAOB Office of Chief Auditor issued a Briefing Paper on Broker-Dealer Audit Considerations http://pcaobus.org/News/Events/Documents/07152010_SAGMeeting/Broker_Dealer.pdf) for the SAG meeting. [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]
6 May 2011, 6:52 am
On April 22, the SEC released a study mandated by the Dodd-Frank Act of 2010 to examine whether to exempt additional companies from the burdensome auditor attestation of internal financial controls of public companies. [read post]
20 Jul 2010, 7:59 am
The Dodd-Frank Act needs a theory. [read post]
3 Sep 2010, 10:39 am
Section 989G of Dodd-Frank exempts non-accelerated filers and smaller reporting companies from the requirement to provide an auditor attestation report on internal controls pursuant to Section 404(b) of the Sarbanes Oxley Act of 2002. [read post]
30 Nov 2011, 8:04 am
The House Capital Markets Subcommittee has approved HR 3213, which expanding the exemption from 404(b) beyond the $75 million public float provided by the Dodd-Frank Act to a $350 million public float. [read post]
7 Dec 2011, 5:34 am
In my next post, I will discuss another well-intentioned Dodd-Frank provision- whistleblower. [read post]
29 Mar 2011, 7:21 pm
The Dodd-Frank Financial Reform Act stripped away those protections, so that CRA’s were now subject to the same expert liability as an auditor or securities analyst, and required only a “knowing” or “reckless” state of mind for liability, rather than proof of scienter. [read post]
24 Nov 2014, 7:47 am
The auditor therefore satisfied one of the exceptions to exclusion from eligibility for awards for compliance and audit professionals. [read post]
6 Jan 2012, 4:21 pm
Twit original del Maestro @FrankGamez1 FRANK GÁMEZ : CONTADOR PUBLICO CERTIFICADO, MASTER EN IMPUESTOS, CONSULTOR EN PROCESOS y PLANEACIÓN ESTRATÉGICA, AUDITOR FINANCIERO. [read post]
22 Feb 2018, 7:30 am
Protection for auditors, attorneys and other employees subject to internal reporting requirements would be jettisoned. [read post]
27 Mar 2014, 2:11 pm
This seminar is intensive training for intermediate as well as seasoned compliance specialists, internal auditors, attorneys, and regulators that focuses on current compliance topics, new rules or interpretations and regulatory developments, including a Dodd-Frank regulatory update. [read post]
