. On January 29, 2016, the Public Company Accounting Oversight Board (the Board or the PCAOB) filed with the Securities and Exchange Commission (the Commission), pursuant to Section 107(b)  of the Sarbanes-Oxley Act of 2002 (the ... Federal Register, 1 week ago
Joe Howell on the PCAOB, Audits and Compliance Part IV - JD Supra, 5 days ago
PCAOB Previews 2015 Broker-Dealer Audit Inspections - AccountingWEB, 1 month ago
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The proposal, issued on Tuesday by the Public Company Accounting Oversight Board, clarifies the lead auditor's responsibilities for planning, supervising and evaluating the work of other auditors. The new rules also would require the lead auditor to ...Nasdaq, 1 month ago
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The Public Company Accounting Oversight Board today announced sanctions in settled disciplinary orders against a Hong Kong audit firm, its New York affiliate, and four individuals for violations of PCAOB rules and standards arising from audits of a ...PCAOB, 6 days ago
SEC Adopts Swaps Business Conduct Rules Different From Comparable CFTC Requirements : Last week the Securities and Exchange Commission adopted final rules imposing business conduct standards on registered security-based swap dealers (SBS Dealer) ...JD Supra, 1 month ago Business Conduct; CCOs; HFTs; Suspense Accounts; Customer Reserve Accounts; More Money: Bridging the Week: April 11 - 18 [VIDEO] National Law Review, 1 month ago
Keynote Address Investment Company Institute 2016 General Meeting "The Future of Investment Company Regulation"
Introduction Thank you, Paul [Stevens], for your kind introduction. Today marks my fourth appearance here in as many years as Chair of the SEC, which should come as no surprise. The Commission is the primary regulator of the mutual fund industry, ...SEC Filings, 5 days ago SEC UNITED STATES SECURITIES AND EXCHANGE : Keynote Address Investment Company Institute 2016 General Member 4 Traders, 5 days ago
Overview On February 18, the U.S. Securities and Exchange Commission (SEC) and Federal Deposit Insurance Corporation (FDIC) (collectively, the Agencies) jointly proposed rules regarding the orderly liquidation of certain covered securities ...Lexology, 1 week ago
, Securities and Exchange Commission Chair Mary Jo White cautioned an audience of industry professionals at the U.S. Chamber of Commerce that the SEC continues to focus on companies use of financial measures based on customized methodologies rather ...Lexology, 4 weeks ago "SEC to Focus on Non-GAAP Financial Measures in 2016" JD Supra, 4 weeks ago
A U.S. Securities and Exchange Commission (SEC) no-action letter issued on April 25, 2016 provides relief from the annual surprise audit requirement of the Custody Rule for a registered investment adviser (RIA) participating in an investment ...JD Supra, 2 weeks ago Sub-Advisers Get Relief from Custody Rule's Surprise Exam Requirement National Law Review, 1 week ago
By Steve Burkholder April 27 — The Financial Accounting Standard Board decided to allow companies one more year to comply with important forthcoming rules on accounting for loan and other credit losses, which are expected to have a major impact ...Bloomberg BNA, 3 weeks ago
May 2016 FOR IMMEDIATE RELEASE THE BOARD OF DIRECTORS OF RIVER AND MERCANTILE UK MICRO CAP INVESTMENT COMPANY LIMITED ANNOUNCE THE HALF YEARLY FINANCIAL REPORT FOR THE SIX MONTHS ENDED 31 MARCH 2016 half yearly BOARD report financial ...London Stock Exchange, 1 week ago
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