Search for: "Frank Auditore"
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13 Apr 2010, 8:10 am
Recently, our friends at Employee Benefit News carried an article, Legal Alert: Keeping A Watchful Eye On Retirement Plan Auditors, written by Frank Palmieri, a partner with the Law Firm of Palmieri & Eisenberg. [read post]
25 May 2011, 1:31 pm
Egan's suit, asserting, inter alia, claims under the whistleblower provisions of the Dodd-Frank Act. [read post]
24 Aug 2012, 8:52 am
· Identify the auditor. [read post]
17 Sep 2010, 1:32 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]
28 Apr 2010, 10:29 am
Nassau at Syracuse Law.In addition to the films mentioned, I'd suggest such goodies as Catch Me If You Can (2002) (the story of impersonator Frank Abagnale, Jr.), Jean de Florette (1986), Stranger Than Fiction (2006) (an IRS auditor can suddenly hear someone narrating his life), The Main Event (1979) (tax shelter), The Widow's Might (2009) (a widow fights back against property taxes), and Billy Bathgate (1991) (tax evasion). [read post]
16 Dec 2022, 1:20 pm
Keith Lewis, a Democrat and close follower of local government, alleges that Mayor Frank Rossi, Jr. infringed on an unidentified individual’s First Amendment rights by calling Ballston Spa police to stop the man, who was likely what social media is calling a “First Amendment auditor,” from filming inside the village office. *** Read more… [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]
24 Mar 2017, 6:46 am
Financial Crisis, Corporate Governance, and Bank Capital Posted by Sanjai Bhagat, University of Colorado Boulder, on Friday, March 17, 2017 Tags: Agency costs, Banks, Capital requirements, CHOICE Act, Dodd-Frank Act, Executive Compensation, Financial crisis, Financial institutions, Financial regulation, Incentives, Leverage, Liquidity, Management, Mortgage lending, Risk oversight, Risk-taking, Systemic risk, Too big to fail BlackRock’s 2017-2018 Engagement Priorities Posted by Abe… [read post]
16 Jun 2023, 6:30 am
Feltman-Frank, and Daniel L. [read post]
16 Jun 2023, 6:30 am
Feltman-Frank, and Daniel L. [read post]
27 Dec 2019, 6:59 am
Bell, Cleary Gottlieb Steen & Hamilton LLP, on Thursday, December 26, 2019 Tags: Accountability, Anti-corruption, Disclosure, Dodd-Frank Act, International governance, Regulation S-K, SEC, SEC rulemaking, Section 1504, Securities regulation, Transparency [read post]
22 Jun 2011, 3:51 pm
The regulations will also require these advisers to detail the size and strategy of their hedge funds and other private funds, as well as the identities of critical gatekeepers such as auditors and prime brokers that provide services to these funds. [read post]
13 Aug 2009, 8:03 am
Bernie Madoff's CFO Frank DiPascali, Jr. learned that the hard way Tuesday. [read post]
4 Jan 2012, 7:43 am
"--included policymakers, academics, consultants, investors, auditors, and other governance professionals from both sides of the Atlantic. [read post]
11 Jan 2012, 1:59 am
"We urge you to review closely the information uncovered during our investigation," read the letter, signed by Ranking Member Henry Waxman, D-CA; Dianna DeGette, D-CO; John Dingell, D-MI; and Frank Pallone, D-NJ. [read post]
15 Jul 2010, 11:37 am
The Act also includes deadlines generally forcing the SEC to complete enforcement, compliance examinations, and inspections within 180 days, with some limited exemptions for complex cases.Responding to problems laid bare by the Madoff fraud, Congress authorized the PCAOB to examine the auditors of broker-dealers. [read post]
20 Jul 2011, 5:23 pm
Any written submission to the SEC on or before August 11, 2011, can qualify for a Dodd-Frank reward. [read post]
19 Jun 2018, 2:09 am
‘I don’t think Dodd-Frank is changing a great deal, just to put a pin in it. [read post]
6 Dec 2011, 4:21 am
This is a big deal for companies in the extractive industry with operations in the EU a la Dodd-Frank. [read post]
5 Jan 2011, 3:06 am
As Dodd-Frank provides the PCAOB with the authority to oversee auditors of brokers - and allocate its support fee among both brokers and issuers now - this year's budget and support fee reflect these changes. [read post]
