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19 Apr 2024, 8:19 am
The staff noted that it identified deficiencies in 17 percent of the comment forms it issued for each of the 2021 and 2022 inspection cycles where the auditor did not perform sufficient procedures to test the accuracy and completeness of IPC or other data and reports, including information produced by service organizations.The report, which includes good practices and other staff reminders, is intended to help auditors improve their audits of public companies and… [read post]
1 May 2008, 5:50 am
“More than 600 staff at HM Revenue and Customs (HMRC) have been disciplined for accessing personal or sensitive data, it has been revealed. [read post]
28 Sep 2020, 9:22 am
In brief, the SEC staff endorsed a three-step settlement process for digital asset securities held in a third-party’s custody if certain customer-protection conditions are met. [read post]
1 May 2023, 7:27 pm
University staff across Australia are striking from Monday as academics protest for improved job security, manageable workloads and wages in line with the increased cost of living. [read post]
27 Apr 2015, 6:41 am
Floating NAV funds must also refrain from stating in advertisements or prospectus materials that they will seek to maintain stable NAV by limiting portfolio securities to securities with a remaining maturity of 60 days or less and valuing those securities using amortized cost, the staff explained, as these types of contradictory statements could be confusing or misleading to investors. [read post]
19 Feb 2015, 7:59 pm
Shootings in hospitals are not that common but violence against hospital staff is happening daily. [read post]
7 Jan 2010, 1:28 pm
1-7-2010 Oklahoma:SAND SPRINGS - The Office of Juvenile Affairs will begin closing units at its maximum security facility, cutting the number of staff needed at the L.E. [read post]
18 Aug 2017, 2:35 pm
They represent interpretations and practices followed by the SEC's Office of the Chief Accountant and the Division of Corporation Finance in administering the federal securities laws.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
26 Jan 2009, 6:59 am
In fact, the White House is so concerned -- about security risks and record-keeping requirements, among other things -- that it has apparently banned instant messaging by staff. [read post]
21 Apr 2015, 7:12 pm
“With the Social Security Administration estimating that each day for the next 15 years, an average of 10,000 Americans will turn 65, the staff of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today issued a report to help broker-dealers assess, craft, or refine their policies and procedures for investors as they prepare for and enter into retirement. [read post]
18 Mar 2008, 6:49 am
Treasury securities, to meet its financial obligations as they arise.Accordingly, large securities firms must maintain a minimum level of liquidity in the holding company. [read post]
18 Jun 2008, 10:52 am
SEC Staff Provides Some Auction Rate Securities Relief The Investment Management and Corp Fin Staffs recently provided some no-action relief to Eaton Vance Management in one of the latest efforts to deal with the locked-up auction rate securities markets. [read post]
7 Jul 2022, 1:15 pm
The Securities and Exchange Commission (SEC) recently released a Staff Bulletin regarding the Standards of Conduct for Broker-Dealers and Investment Advisers Account Recommendations for Retail Investors. [read post]
28 Nov 2016, 5:00 am
In response to a series of questions about a no-action letter on abbreviated tender or exchange offers for non-convertible debt (Abbreviated Tender or Exchange Offers for Non-Convertible Debt Securities, January 23, 2015), the staff advised that a foreign private issuer may satisfy the requirement to furnish a press release announcing the abbreviated offer by filing a Form 6-K, rather than a Form 8-K as noted in the letter, prior to noon on the first business day of the offer.In… [read post]
27 Mar 2014, 7:07 pm
“The staff of the Securities and Exchange Commission made available certain analyses of data and academic literature related to money market fund reform. [read post]
24 Dec 2008, 12:25 pm
The staff of the Securities and Exchange Commission is urging the agency to investigate whether the managers of the Reserve Fund, whose money market funds have been blocked for more than three months, violated federal securities laws, The New York Times’s Diana B. [read post]
10 Dec 2020, 8:11 am
The Securities and Exchange Commission staff today published an expanded suite of data and analyses of private fund statistics and trends. [read post]
30 Apr 2020, 7:10 pm
But the staff also said, citing Securities Act Rule 411, that the company must be careful not to include potentially incomplete, unclear, or confusing references. [read post]
18 Aug 2011, 6:09 pm
The Staff Attorney may also assist in securing pro bono co-counsel. [read post]
3 Jul 2014, 6:21 am
On June 30, 2014, the staff of the Securities and Exchange Commission's (the "Commission") Division of Investment Management and Division of Corporation Finance (the "Staff") issued much-anticipated guidance regarding proxy advisory firms, in the form of 13 Questions and Answers. [read post]
