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13 Jul 2013, 10:56 pm
He also pointed out that mandatory audit firm rotation was considered during the Dodd-Frank Act deliberations and was rejected. [read post]
10 Feb 2015, 2:36 am
Yesterday, the SEC posted this proposing release on hedging disclosure, a rulemaking dictated by Section 955 of Dodd-Frank. [read post]
23 Oct 2008, 3:38 am
Scholars have long berated the rating agencies, especially Frank Partnoy. [read post]
28 Dec 2011, 6:56 am
In the wake of the Dodd-Frank Act authorizing PCAOB oversight of the audits of broker-dealers, all brokers and dealers registered with the SEC as of the date on which the allocation of the annual accounting support fee is set are subject to the accounting support fee. [read post]
16 Jun 2007, 1:48 am
More details leak out after the Nebraska State Auditor pulls up the rug in the "squeaky clean" Supreme Court's crib and shows a few more roaches scurrying around. [read post]
19 Nov 2010, 9:30 pm
The SEC has proposed regulations implementing the regulatory regime for hedge funds and private equity funds mandated by the Dodd-Frank Act. [read post]
11 Mar 2011, 5:00 am
Moreover, the Volcker Rule and other significant regulatory changes under the Dodd- Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act)—the import of which are just becoming clear—will themselves prompt new M&A activity. [read post]
22 Nov 2010, 1:03 pm
As we know, Dodd-Frank exempted companies with public floats (ie the value of non-affiliate stock) less than $75 million from requiring their auditor to attest to the adequacy of their internal financial controls. [read post]
12 Sep 2011, 1:03 am
DTT resigned as Longtop’s auditor earlier this year. [read post]
11 Sep 2015, 9:50 am
” That is so, according to the court, because there are categories of whistleblowers who, under Sarbanes-Oxley, cannot report to the SEC until after reporting internally (i.e., auditors and attorneys) and, as to the rest, only the “few” who report “simultaneously” to the SEC when they report internally would obtain Dodd-Frank protection. [read post]
17 Aug 2010, 1:17 pm
The investment adviser activities within SRD are largely handled by examiners and auditors around the state. [read post]
23 Oct 2011, 1:00 pm
Such resolution arrangements are incorporated in Dodd-Frank, observed Mr. [read post]
4 Aug 2014, 5:45 am
Moreover, the CEO and former CFO were alleged to have each certified that they had disclosed all significant deficiencies in internal controls to the outside auditors, when they allegedly misled the auditors about their controls by withholding from the auditors information about inadequate inventory controls and improper accounting practices. [read post]
14 Jan 2011, 2:00 am
This would be consistent with many companies’ descriptions of the vote required with respect to ratification of the selection of auditors. [read post]
27 Nov 2010, 12:29 pm
The SEC is studying this possibility as mandated by Dodd-Frank, and that study is due this coming April. [read post]
24 Jun 2013, 5:50 pm
The Act would also prohibit the Board from requiring that audits be conducted by specific auditors. [read post]
20 Sep 2019, 7:14 am
Bill Huizenga (R-Mich) who warned that a separate PCAOB whistleblower program could threaten the auditor-client relationship. [read post]
28 Oct 2010, 1:12 pm
The SEC and its efforts to implement the Dodd-Frank Act will face more scrutiny if Republicans take control of the U.S. [read post]
14 May 2011, 8:18 pm
Kueppers agreed with Dodd-Frank’s exclusion from the SEC whistleblower financial reward program of accounting firm personnel reporting on suspected violations by companies they audit. [read post]
24 May 2019, 8:03 pm
Finalizing security-based swap rules mandated by Dodd-Frank. [read post]
