Search for: "Frank Auditore"
Results 41 - 60
of 481
Sorted by Relevance
|
Sort by Date
15 Sep 2010, 5:03 pm
Section 989G affords small issuers an exemption from the internal controls auditor attestation requirement of Section 404(b) of the Sarbanes-Oxley Act of 2002. [read post]
18 Sep 2010, 5:56 am
On September 15, the SEC adopted some rule amendments to conform with changes made in the Sarbanes-Oxley Act by the Dodd-Frank Act of 2010. [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]
12 Dec 2011, 8:32 am
It will only take one educated employee to submit a whistleblower report to internal auditors or the SEC to initiate an investigation. [read post]
30 Mar 2010, 1:27 pm
SOX 404(b) would obligate these companies’ auditors to attest to the adequacy of the company’s internal financial controls. [read post]
8 May 2019, 7:09 am
Yesterday, I had the privilege of presenting on the topic to the Central Jersey Chapter of the Institute of Internal Auditors at its Annual Fraud Conference (thanks to Frank Pina at Mercadian for the invite). [read post]
14 Jul 2011, 3:43 pm
In addition, the SEC excluded payments to certain employees such as in house counsel, compliance personnel, internal auditors, certain executives and external auditors. [read post]
31 Dec 2015, 10:43 am
” (“Whistleblower Claims Under the Dodd-Frank Wall Street Reform and Consumer Protection Act: The New Landscape,” New York State Bar Association, www.nysba.org)Judge Jon Newman, author of the federal appeals court opinion, suggested that, “expanding the protections would chiefly benefit auditors and attorneys who are barred from reporting alleged wrongdoing to the SEC until they have brought it to their employer’s attention. [read post]
24 Sep 2011, 12:06 pm
As the SEC staff works with the PCAOB to monitor auditor inspection results on 404(b) internal controls, U.S. [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]
30 Aug 2011, 4:50 pm
Deloitte urged the SEC to clarify the independence standards applicable to the audit of the report and specifically clarify that the independence of the external auditor of the company’s financial statements would not be impaired if the same auditor performed an audit of the Conflict Minerals Report Grant Thornton noted that the proposal, consistent with the Dodd-Frank Act, indicates that the independent audit is a critical component of due diligence. [read post]
28 Jul 2010, 5:21 am
., and my summaries of summaries of the Dodd-Frank bill took too long, here I’ll give the big overview of the bill as it may affect smaller public companies. [read post]
18 Oct 2010, 12:00 pm
Section 404(a) was left untouched by Dodd-Frank and thus the SEC study will not evaluate its compliance burden.Section 989G was one of the most contentious provisions of the Dodd-Frank Act. [read post]
26 Jun 2017, 9:27 am
If internal complaints are not protected, corporate compliance programs will be undermined and auditors who resist watering down findings will be at-risk for being fired. [read post]
17 Jun 2010, 10:50 am
Let’s give Barney Frank some credit. [read post]
22 Aug 2012, 8:52 am
Implementing Section 1502 of the Dodd-Frank Act, the SEC adopted regulations requiring companies to make specialized disclosure about conflict minerals. [read post]
10 Jan 2011, 1:16 pm
(Running Time: 15:10)MP3 File Joe CrawfordPartner Frank DevinePartner Frank MayerPartner [read post]
22 May 2011, 12:44 pm
While the proposal and Dodd-Frank 922(c)(2)(C) appear similar, he noted, the proposal further restricts any information obtained by an auditor acting under the securities laws. [read post]
22 Feb 2011, 11:58 pm
Morgan Stanley senior vice president Frank Thompson says the firm did an “outstanding job” and that it strongly recommended that the funding commission not work with the state’s OFM, which it said proposed poor investments. [read post]
19 Apr 2018, 7:01 am
Auditor tenure disclosure. [read post]
