Search for: "State Auditor"
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7 Feb 2014, 1:15 pm
Any SEC-registered adviser, exempt reporting adviser or state-registered adviser can review their own operational due diligence policies and procedures to see if they can be bolstered by incorporating any of the recommendations contained in the Risk Alert. [read post]
7 Feb 2014, 5:04 am
In response to a question from a SEC Commissioner, PCAOB Chair Jim Doty stated that his pursuit of mandatory auditor rotation is dead. [read post]
6 Feb 2014, 3:54 am
SEC Commissioner Aquilar delivered this speech urging auditors to provide better quality audits... [read post]
4 Feb 2014, 11:17 pm
Today's post is shared from wvgazette.comLeads continue to develop out of an investigation into a multimillion-dollar scheme aimed at lowering workers' compensation premiums for contract firms that provided workers to some of the state's largest coal producers, an assistant U.S. [read post]
4 Feb 2014, 6:30 am
An outside, highly-experienced, independent claims auditor can review each legacy file and craft a detailed action plan with completion dates for each specific file. [read post]
1 Feb 2014, 5:15 pm
DiNapoli’s auditors found that as of June 4, inspections that were due for almost 5,000 establishments had not been completed. [read post]
1 Feb 2014, 8:32 am
DiNapoli’s auditors found that as of June 4, inspections that were due for almost 5,000 establishments had not been completed. [read post]
30 Jan 2014, 7:22 am
Financial auditing is an attestation of a client’s financial records therefore, it is critical that those auditors remain impartial. [read post]
29 Jan 2014, 8:08 pm
The leaked report is a draft, not a final, official document but that fact does little to ease the sense that state auditors uncovered serious problems as they examined TriMet. [read post]
29 Jan 2014, 9:52 am
It considered not just the Bar’s formal classification as “a public corporation and an instrumentality of the State of Oregon,” but also how many of its members “must be nonlawyer members of the public,” the requirement that its records be “open for public inspection” and its accounts “subject to periodic audits by the State Auditor,” its open meeting requirements, and the fact that its members “are public… [read post]
28 Jan 2014, 4:22 pm
The SEC’s stated intent also conflicts with the views of at least one other federal agency. [read post]
28 Jan 2014, 7:28 am
[W]e look closely at the auditors in every financial reporting case, but we are also closely focusing on senior executives for possible misconduct warranting charges. [read post]
25 Jan 2014, 8:47 am
Even the United States may be toying with the idea of a national fund (we have state funds) ostensibly as an economic stabilization mechanism (John Aziz, Does the United States need a sovereign wealth fund? [read post]
23 Jan 2014, 10:11 am
-listed companies during this period, and the affected companies will have to scramble to find new outside auditors. [read post]
23 Jan 2014, 5:08 am
Aracoma also bribed an insurance auditor to cover up its true payroll. [read post]
22 Jan 2014, 5:53 am
FINRA stated that its investigation revealed that the offering documents also included only boilerplate definition of terms that created a lack of clarity. [read post]
20 Jan 2014, 4:47 pm
However, the explanatory notes to the Act indicate that the new defence is intended to reflect the common law as set out in Flood v Times Newspapers [2012] UKSC 11, in which Lord Mance stated that it would seldom be in the public interest “…to publish material which has not been the subject of responsible journalistic enquiry and consideration. [read post]
17 Jan 2014, 3:49 pm
“However, the seriousness of the offense is tempered in this case by the lack of a willful, intentional or knowing state of mind. [read post]
16 Jan 2014, 3:00 am
A board of a nonprofit is generally empowered to create committees at its discretion, subject to the organization’s bylaws and the laws of the state of its incorporation. [read post]
14 Jan 2014, 1:01 am
Here is Chris, Paul and Matthew's guest post: On July 2, 2013, the United States Securities and Exchange Commission (the SEC) announced two new initiatives aimed at preventing and detecting improper or fraudulent financial reporting (see July 2, 2013 SEC Press Release, available here). [read post]
