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Searching Content indexed under Audit by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Federal Register: SEC Proposes Measures To Expedite Implementation Of CAT
An SEC proposal to facilitate the implementation of the Consolidated Audit Trail ("CAT") was published in the Federal Register. Comments on the proposal must be submitted by October 28, 2019.
United States
23 Sep 2019
2
SEC Proposes Measures To Expedite Implementation Of CAT
The SEC proposed various measures to "facilitate additional progress" in the implementation of the Consolidated Audit Trail ("CAT").
United States
13 Sep 2019
3
FCM Settles CFTC Charges For Providing Insufficient Audit Trail Data
A registered futures commission merchant settled CFTC charges for failing to provide sufficient audit trail data, which "substantially delayed" a CFTC Division of Enforcement ("Division")
United States
13 Sep 2019
4
Too Many Stakeholders in the Kitchen
High-stakes corporate investigations into bribery, corruption, and other misconduct—whether focused on internal actors or third-party business partners
United States
5 Sep 2019
5
Public Accounting Firm Settles SEC Charges For Violating Auditor Independence Rules
A public accounting firm agreed to settle SEC charges for violating SEC auditor independence rules in over 100 audit reports concerning at least 15 audit clients.
United States
29 Aug 2019
6
SIFMA Publishes Guide On Consolidated Audit Trail
SIFMA published a guide for industry members on the Consolidated Audit Trail ("CAT") reporting requirements
United States
31 Jul 2019
7
Federal Register: FINRA Proposes Technical Changes To CAT Plan And Reporting Requirements
The FINRA proposal making non-substantive changes to its Consolidated Audit Trail ("CAT") plan and Rule 409T ("Statements of Accounts to Customers") was published in the Federal Register.
United States
24 Jul 2019
8
SEC Amends "Auditor Independence" Rules Clarifying Debtor-Creditor Relationships
The SEC adopted Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the "Loan Provision") to change the interpretation of "auditor independence"
United States
2 Jul 2019
9
Accounting Firm Settles SEC Charges Of Using Stolen Data To Improve PCAOB Inspection Results
A "Big Four" accounting firm paid $50 million to settle SEC charges for using stolen information to improve the firm's annual inspection results with the industry's watchdog agency.
United States
1 Jul 2019
10
PCAOB Issues Guidance On Implementation Of Critical Audit Requirements
The Public Company Accounting Oversight Board ("PCAOB") issued guidance to support the implementation of new critical audit matter ("CAM") requirements.
United States
1 Apr 2019
11
Audit Firm And Former Personnel Settle SEC Charges Related To Auditor Independence Rules
An audit firm based in Japan, its former CEO, and its former acting reputation and risk leader ("RRL") (collectively, the "Respondents") agreed to settle SEC charges for violating auditor independence rules.
United States
21 Feb 2019
12
FIF Recommends "Logistical Changes" During CAT Transition To New Plan Processor
FIF Recommends "Logistical Changes" During CAT Transition To New Plan Processor.
United States
15 Feb 2019
13
IOSCO Provides Guidance To Audit Committees
IOSCO issued its recommended "good practices" for the "audit committees of listed companies in supporting and promoting external audit quality."
United States
24 Jan 2019
14
SEC And PCAOB Raise Concerns Over Access To Overseas Corporate Financial Information
SEC Chair Jay Clayton, SEC Chief Accountant Wesley Bricker and Public Company Accounting and Oversight Board ("PCAOB") Chair William D. Duhnke III raised concerns about foreign markets that restrict access to information about U.S.-listed companies operating overseas.
United States
14 Dec 2018
16
SEC Permits Brazilian Company To Conform Audit Committees To Home Country Law
SEC Permits Brazilian Company To Conform Audit Committees To Home Country Law.
United States
16 Nov 2018
17
SEC Suspends Accountants For Predating Audit Documentation
According to the SEC Order, three accountants failed to accurately complete an audit of a company's 2013 Form 10-K.
United States
17 Oct 2018
18
SEC Provides Update On CAT Implementation Delays
SEC Division of Trading and Markets (the "Division") Director Brett Redfearn issued an update on implementation of the Consolidated Audit Trail ("CAT").
United States
9 Sep 2018
19
CFTC Provides Audit Relief To FCMs
The CFTC Division of Swap Dealer and Intermediary Oversight (the "Division") provided no-action relief allowing the auditors of futures commission merchants ("FCMs") ...
United States
5 Sep 2018
20
Broker-Dealer Settles Charges Of OATS-Related Violations
A broker-dealer agreed to pay $450,000 to settle FINRA charges for failing to establish and maintain an adequate supervisory system to comply with Order Audit Trail System ("OATS") reporting obligations.
United States
5 Sep 2018
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