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25 Sep 2011, 4:48 pm
Meanwhile, congressional Republicans have already succeeded in cutting funding for the Securities and Exchange Commission despite increased responsibilities under the Dodd-Frank Act. [read post]
16 Aug 2010, 4:55 am
Trends in Going Concern Opinions Recently, Audit Analytics released its annual "Going Concern" report - here's some of the highlights: - It is estimated that 19.8% of auditor opinions filed for year end 2009 will contain a qualification regarding the company's ability to continue as a going concern [read post]
2 Mar 2012, 4:01 am
As noted in this Towers Watson alert, this proposal could bring added involvement of independent auditors into executive pay decisions. [read post]
21 Oct 2014, 3:51 am
The bottom line is that the new clawbacks will certainly up the ante in discussions among auditors, audit committees and management as to whether errors discovered in previously filed financials are material. [read post]
6 Nov 2023, 9:05 pm
For example, as a part of the 2011 Dodd-Frank Act, Congress enacted a whistleblower program to reward eligible individuals with up to 30 percent of the monetary penalties resulting from their tips. [read post]
9 Apr 2018, 12:59 pm
Somers worries that lawyers and auditors will face retaliation quickly, before they have a chance to report to the SEC. [read post]
3 Nov 2015, 2:38 pm
Franks mostly made her own financial decisions.Article published in the Wall Street Journal on Oct. 30, 2015. [read post]
6 Dec 2011, 4:20 pm
The Senate Banking Committee hearings on the implementation of the Dodd-Frank Act, focused on the Volcker Rule, resources and easing access to capital. [read post]
11 Feb 2007, 7:00 pm
But Sheriff Frank Canarecci disagrees, particularly with the suggestion that he may have to end road patrols. [read post]
28 Jan 2014, 4:22 pm
The government, as amicus, argued that Congress intended to cover contractors and subcontractors such as a accountants, lawyers and outside auditors, but there could nevertheless be limits imposed on who could qualify. [read post]
11 Aug 2009, 1:51 pm
Frank DiPascali, the former chief financial officer for Bernie Madoff, moments ago pleaded guilty to all 10 charges lodged against him. [read post]
7 Oct 2015, 8:51 am
In the same press release, the SEC announced it had settled an administrative proceeding with the fund’s outside auditors. [read post]
12 Aug 2011, 2:51 pm
Today, the SEC's new whistleblower program under the Dodd-Frank Act becomes effective, and is on the minds of many New York securities lawyers. [read post]
11 Aug 2009, 11:34 am
They already arrested Madoff’s auditor, David G. [read post]
8 Feb 2007, 11:39 am
Instead, compliance activities become a reactive process driven by auditors. [read post]
11 Oct 2011, 7:27 am
The exemption is currently at the $75 million cap set by the Dodd-Frank Act. [read post]
18 Nov 2015, 9:04 am
The report contains an independent auditor’s report from the U.S. [read post]
8 Dec 2020, 9:11 am
U.S. (2015)), and highlighted its provisions against those of Dodd-Frank (comparing and contrasting anti-retaliatory provisions in Digital Realty Trust v. [read post]
20 Nov 2010, 3:11 pm
Seeks Public Comment on Proposed Regulations On November 19, the SEC released proposed rules with respect to the new hedge fund registration requirement under the Dodd-Frank act. [read post]
11 Mar 2013, 6:20 am
Congress did not impose the whistleblower award provisions in the Dodd-Frank Act on the Commission. [read post]
