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22 Jun 2009, 11:40 am
Procedural History In the prior recent decision linked above, the Chancery Court found that the plaintiffs had stated well plead breach of fiduciary duty claims against certain AIG officers who were allegedly involved in the conspiracies at issue in this motion as well as other illegal activities. [read post]
22 Jun 2009, 4:00 am
You should not be surprised that some companies do not want their servers in the United States because of the confiscatory provisions of the US PATRIOT Act. [read post]
19 Jun 2009, 11:46 am
Grassley told Geithner he had learned of "certain Treasury documents that were being withheld from SIGTARP auditors on a specious claim of attorney-client privilege," a disagreement which had "escalated into broader questions about whether SIGTARP is subject to your direct supervision and direction. [read post]
18 Jun 2009, 8:12 am
Two states have already implemented certification requirements: Oregon and California. [read post]
16 Jun 2009, 11:00 am
I'm not a Massachusetts lawyer, but I did a stint as a law clerk for the Massachusetts Appeals Court and my recollection is that Chapter 93A was considerably stronger in application and interpretation than many other states' mini-FTC Acts, particularly since a private right of action is included essentially without limit. [read post]
15 Jun 2009, 4:24 pm
In his closing remarks, Gensler stated: “President Obama has called for action by the end of this year to strengthen market integrity, lower risks, and protect investors. [read post]
13 Jun 2009, 11:36 am
The Joint Conference on Fraud Detection is a cooperative effort sponsored collectively by the CBOE, NASAA, FINRA and SEC.On September 30, 2009, I am scheduled to make a fraud presentation at the United States Department of Justice Affirmative Civil Enforcement for Investigators and Auditors Conference in Columbia, South Carolina.I am a registered Democrat. [read post]
11 Jun 2009, 9:45 pm
For example, if an in-store advertiser contracted to place 100 ads, and an auditor could only find 85 ads during an audit, the compliance rate would be 85%.In the sales documents that News America shared with manufacturers, News claimed that it "consistently deliver[ed] average compliance rates of 90-95%. [read post]
8 Jun 2009, 1:00 pm
Below are links to some stories from the conference: Ex-SEC chief Pitt decries state of Sarbanes-Oxley and risk management By Alexander Howard, Associate Editor of SearchCompliance.com My Takeaways from Compliance Week 2009 by Bruce Carton of Enforcement Action Compliance Week 2009 Day 1 What a Difference a Year Makes by Francine McKenna of Re: The Auditors SEC's Aguilar on 404, IFRS Proxy Access, More by Melissa Klein Aguilar of The Filing Cabinet SEC Commish, FINRA Head:… [read post]
8 Jun 2009, 6:43 am
Lev Dassin, the acting United States attorney for the Southern District of New York, issued a statement on Friday stating that “the government has concluded that further prosecution of this case would not be in the interests of justice. [read post]
8 Jun 2009, 4:24 am
Second, plaintiffs claim that S & K falsely stated in the offering memoranda that TBS was Wood River's auditor even though S & K knew from the inception that TBS had not been retained to perform any auditing work. [read post]
7 Jun 2009, 9:04 am
Management may conclude that the company's internal controls are effective when the management report is filed without the auditor's attestation report, but the company's auditor may come to a contrary conclusion in its report filed in a subsequent year, and as a result, the company's previous assessment may be called into question. [read post]
4 Jun 2009, 4:21 am
Of Internal Auditors 2002) Can readers offer other examples of what a legal department audit has tested? [read post]
2 Jun 2009, 12:12 pm
CMS is currently implementing the RAC program in 24 states, and will implement the program in the other 26 states in August. [read post]
2 Jun 2009, 10:44 am
An independent auditor wrote that City officials encouraged reducing the “flow of money to the City’s pension system in order to benefit the City while creating no compensating benefit for the City Pension system. [read post]
2 Jun 2009, 7:41 am
At Interface, I voted only to abstain on ratification of the auditors. [read post]
1 Jun 2009, 9:00 pm
The rules state that a security company will not use its status as auditor to market its products to companies it audits, but if the auditor should happen to find that the client would benefit from its product, it must also tell the client about competing products. [read post]
1 Jun 2009, 1:30 pm
The auditors also found that the Bronx PA did not comply with guidelines requiring sealed bids for personal property being auctioned off, leaving the process susceptible to corruption and favoritism amongst would-be buyers. [read post]
31 May 2009, 12:28 pm
Treasury earlier this month, foreign financial institutions that have dealings with the United States will be required to sign an agreement with the U.S. [read post]
29 May 2009, 7:19 am
Department of State's Bureaus of Consular Affairs and Diplomatic Security; U.S. [read post]
