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7 May 2009, 8:25 pm
Recently, the IRS provided guidance to auditors on how to deal with those hiding income offshore in undisclosed accounts. [read post]
21 Jul 2022, 3:02 am
This enforcement action serves as a reminder to all advisers to remain vigilant and stay on top of their auditors to complete and distribute the annual fund audit in a timely fashion. [read post]
16 Apr 2018, 10:38 am
Fagg of the United States Court of Appeals for the Eighth Circuit. [read post]
15 May 2010, 11:43 am
Ultimately, the cost and other implications of the Health Care Reform Law will depend largely upon how its provisions are construed and implemented by federal and state regulators, along with any subsequent adjustments, if any that Congress may elect to enact. [read post]
24 Jul 2024, 3:29 am
Disclosure and Reporting: The HKMA stood firm on its requirement of monthly attestations of reserve assets conducted by a qualified and independent auditor. [read post]
22 Dec 2020, 9:43 am
Other State RIAs. [read post]
22 Jul 2012, 5:09 pm
I have always believed and I believe it is a view across the bulk of the industry that self-regulation is the guarantor of press freedom and interference from state control. [read post]
23 Jan 2017, 2:47 pm
The likelihood of state statutory or regulatory restrictions on insured arrangements is particularly likely because of the heavy regulation of these products by states including the widespread incorporation of ACA mandates into state insurance laws and regulations in response to the Market Reform provisions of the ACA. [read post]
11 Dec 2009, 12:00 pm
"Today's historic action will help New Yorkers become more energy efficient and it is another great example of how cities and states are leading the way in developing emissions reduction strategies. [read post]
20 Apr 2016, 5:34 pm
” Such security interest was perfected through a financing statement filed with the Delaware Department of State on February 11, 2011. [read post]
7 Jul 2024, 2:53 pm
Laboratories should therefore expect that FDA auditors will, in addition to reviewing complaint handling, also evaluate MDR processes and decisions and consider whether a complaint should have triggered a CAPA. [read post]
Peter Madoff 10 Sentence For Defrauding ERISA Plans Reminder Manage Plan Investment Responsibilities
27 Dec 2012, 3:45 am
The false statements were designed to mislead regulators, auditors, and IA clients. [read post]
18 Dec 2023, 2:48 pm
State-registered advisers need to examine their states’ regulations to determine who constitutes a “client. [read post]
7 Feb 2015, 10:54 am
On November 15th, the C.D.C. raised the number to three hundred and eighty-nine victims in twenty-three states. [read post]
18 Feb 2012, 1:59 am
In 2010, E. coli-tainted romaine lettuce was recalled in 23 states after 19 people became seriously ill in Ohio, New York and Michigan.Just this last October, the U.S. [read post]
5 Apr 2012, 6:26 pm
Compliance with the auditor attestation requirement of Section 404(b) of the Sarbanes-Oxley Act is not required for the period that a company remains an EGC. [read post]
24 Oct 2019, 2:40 pm
” Steven Peikin, the other Co-Director of the SEC’s Division of Enforcement stated: “We have repeatedly stated that issuers cannot avoid the federal securities laws just by labeling their product a cryptocurrency or a digital token . . . [read post]
26 Feb 2014, 9:53 am
More recently, in Arizona, an auditor general report stated, The Department requires that private prisons mirror state-operated facilities, and performs extensive oversight activities to ensure that its contractors meet its requirements. [read post]
23 Jun 2010, 9:37 am
Implementing powers should also be conferred to the Commission to coordinate the voluntary contributions of Member States and the potential synergies with relevant national, European Union and international initiatives, to set the maximum rate of co-financing for grants, to adopt measures laying down the technical requirements in order to ensure the control and integrity of the system within the GMES space com [read post]
3 Aug 2022, 9:01 pm
Companies with securities listed on EU regulated markets (except micro-enterprises): Companies whose securities (including debt securities with denominations lower than €100,000 or equivalent or depositary receipts) are admitted to trading on a regulated market of any Member State, with the exception of micro-enterprises. [read post]
