Search for: "Frank Auditore"
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5 Jan 2011, 3:06 am
As Dodd-Frank provides the PCAOB with the authority to oversee auditors of brokers - and allocate its support fee among both brokers and issuers now - this year's budget and support fee reflect these changes. [read post]
28 Jun 2012, 7:16 pm
Frank Lazzara, Managing Director with FTI Consulting. [read post]
13 Jul 2007, 10:19 am
For publication opinions today (5): Frank Nagy, et al. v. [read post]
25 Feb 2014, 10:02 am
The presentations covered an array of topics, but common themes included the Commission’s ongoing effort to carry out the rulemaking agenda set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act, its role as an enforcement body post-financial crisis, its increasing utilization of technology, and its renewed focus on the conduct of gatekeepers. [read post]
24 Feb 2011, 4:30 am
This sure seems like complete madness since Dodd-Frank was enacted less than a year ago. [read post]
1 Mar 2011, 7:07 am
The new head of the PCAOB, which oversees auditors of U.S. [read post]
21 Sep 2012, 6:51 am
On August 22, 2012, the SEC adopted its final rule related to conflict minerals required by Congress under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), which will require all public companies to implement complex new controls and procedural mechanisms, and in certain cases, conduct supply chain due diligence that could lead to new public disclosures. [read post]
24 Aug 2010, 6:03 am
Here are some of the latest entries: - Disclosures to Independent Auditors: What's the Risk of Waiver? [read post]
16 Sep 2010, 5:32 am
SEC Receives PCAOB's Proposed Changes to Risk Assessment Standards Yesterday, the PCAOB filed proposed changes to eight auditing standards related to an auditor's assessment of risk with the SEC. [read post]
4 Jan 2011, 10:31 am
With the advent of 2011, a new EU regulatory framework for securities and banking has been born, including a European Systemic Risk Board similar to the Financial Stability Oversight Council created by the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
24 Feb 2020, 3:00 am
This Fried Frank memo focuses on how that guidance may influence the use of ESG metrics in MD&A. [read post]
14 Jun 2012, 8:57 am
Cir. 2009), the auditor of Adelphia claimed the short time frame and massive record deprived him of due process. [read post]
6 Feb 2023, 1:37 pm
In fact, many of the challenges and the conundrums presented by Section 404 rules were not fully appreciated until those issues surfaced again in subsequent statutes, such as the Dodd-Frank Act of 2010 and the JOBS Act of 2012. [read post]
24 Mar 2011, 4:40 pm
The framework will also provide a better understanding of programs supporting fraud deterrence.SAG member, and Duke University Law Professor, James Cox asked if COSO has considered the carve out from the Section 404(b) auditor attestation requirement in the Dodd-Frank Act for small companies in light of the fact that most abuses are disproportionately found in smaller issuers. [read post]
30 Sep 2019, 12:42 pm
However, the Dodd-Frank clawback requirement is not yet effective due to a delay in the publication of final rules. [read post]
16 Nov 2017, 7:03 am
The firm also has stricter guidelines on auditor ratification and over-boarding.Shareholder proposals. [read post]
20 Mar 2013, 3:28 pm
The SEC wanted disclosures on the "gatekeepers", in their words, i.e., auditors (a favorite target along with lawyers), prime brokers, custodians, administrators and marketers," as well as the background of the people working at the fund and the use of affiliated brokerage firms, soft dollar commissions and compensation for referrals." [read post]
18 Dec 2020, 11:01 am
While the PAR is a record of our achievements, it is also a frank assessment of the challenges we face as an agency. [read post]
21 Nov 2023, 6:02 am
New Exchange Act Rule 17ad-25 fulfills a Dodd-Frank mandate to mitigate conflicts of interest for security-based-swap clearing agencies. [read post]
24 Sep 2021, 10:18 am
After the adoption of the map, even Ohio Auditor Keith Faber, Ohio Sec. of State Frank LaRose, and Gov. [read post]
