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5 Dec 2017, 4:29 pm
That defence states that a person or company is not liable for a misrepresentation if they prove they have conducted a reasonable investigation and had no reasonable grounds to believe that the statement contained a misrepresentation. [read post]
10 Sep 2021, 11:15 am
These whistleblowers include coders, auditors, billers, record managers, physicians, compliance professionals, vendors, and even MA plan executives. [read post]
7 Mar 2019, 6:30 am
All state laws vary. [read post]
30 May 2018, 9:00 am
In the days following the court ruling, Lyft and San Francisco-based delivery services DoorDash and Postmates were sued in California state court by workers alleging they had been improperly classified as independent contractors. [read post]
31 Jul 2014, 1:41 pm
This decision reflects the Commission’s and Enforcement Division’s recently, but frequently, stated intent to bring more administrative proceedings that previously would have been brought in federal court, now that the Commission has expanded remedies under Dodd-Frank Act. [read post]
25 Apr 2013, 1:24 pm
., the auditor’s obligation under Section 10A of the Securities Exchange Act of 1934 to report a client’s illegal acts. [read post]
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]
19 Jul 2009, 7:41 pm
He states that the rating agencies didn't look at the underlying loan files and that when they did after the loans started going south, they didn't like what they saw. [read post]
30 Sep 2020, 6:39 am
Also, an auditor aggressively doing his or her job is protected under the anti-retaliation provision, even if he or she never filed an allegation of corporate wrongdoing with the SEC. [read post]
29 Jun 2012, 10:46 am
-EU Safe Harbor Framework, which provides a method for U.S. companies to transfer personal data lawfully from the European Union to the United States. [read post]
29 Oct 2012, 9:47 am
Because the final version of PCAOB comments and audit firm responses to those comments are all privileged, reasoned the court, then it follows that any internal auditor communications that reveal those comments, or the work to develop the responses to the comments, are also privileged. [read post]
18 Oct 2018, 10:58 am
If an IRS auditor questions your donation (the nerve) and you don’t have documentation, you could lose the deduction. [read post]
27 Aug 2011, 4:40 am
While Klotsche held adjusting licenses in other states, he was not acting as or licensed in North Carolina as a public adjuster. [read post]
16 Nov 2010, 12:46 am
The companies too often select auditors who have previously signed off on the financials of companies that turned out to be busts. [read post]
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]
1 Aug 2016, 10:00 pm
The auditors will issue another report at the conclusion of the review, but the alert did not indicate when that would be. [read post]
22 May 2023, 9:05 pm
Accountability should mitigate any “capture” of auditors by industry interests, state Laux, Watcher, and Mittelstadt. [read post]
8 Jun 2018, 6:29 am
Critically, the bill also ensures that whistleblowers will receive between 15% and 50% of funds recovered by the United States. [read post]
16 Aug 2018, 6:30 am
All state laws vary. [read post]
8 Mar 2020, 9:01 pm
Auditors said the system for sprouting establishments does not ensure non-compliances are rectified before approval is granted. [read post]
