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Results: 1-10 of 2,227

SEC approves FINRA Rule to prohibit conditioning customer settlements on expungement

  • BuckleySandler LLP
  • -
  • USA
  • -
  • July 25 2014

On July 23, FINRA announced that the SEC approved a new rule prohibiting FINRA-supervised firms and registered representatives from conditioning

Investment adviser proxy voting responsibilities & use of proxy advisory firms

  • Thompson Hine LLP
  • -
  • USA
  • -
  • July 24 2014

On June 30, 2014, the SEC's Division of Investment Management and Division of Corporation Finance issued a Staff Legal Bulletin providing guidance

The IPO and public company primer

  • Milbank Tweed Hadley & McCloy LLP
  • -
  • USA
  • -
  • July 24 2014

Initial public offering (IPO) deal type, volume and size have changed significantly over the last decade. From 2001 through 2003, following the burst

CAQ field testing of PCAOB auditor report proposals highlights potential implementation challenges

  • Baker & McKenzie
  • -
  • USA
  • -
  • July 23 2014

On June 20, the Center for Audit Quality released the findings of its field testing of the Public Company Accounting Oversight Board’s proposed

You’ve been sued for securities fraud: now what?

  • Dechert LLP
  • -
  • USA
  • -
  • July 23 2014

Imagine that you are a lawyer at a rapidly growing public U.S. company. Your company has recently disclosed bad news to the market. Following this

Q2 2014 U.S. legal and regulatory developments

  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • -
  • USA
  • -
  • July 18 2014

The following is a summary of significant U.S. legal and regulatory developments during the second quarter of 2014 of interest to Canadian companies

EY sanctioned for acting as an advocate for audit clients

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 16 2014

Auditor independence is critical. The opinion issued by the audit firm regarding the financial statements of an audit client represents in part that

SEC charges Ernst & Young with violating auditor independence rules in lobbying activities

  • Shearman & Sterling LLP
  • -
  • USA
  • -
  • July 15 2014

On 14 July 2014, the Securities and Exchange Commission ("SEC") charged Ernst & Young LLP with violations of auditor independence rules that require

The auditors' "little speech" about critical audit matters

  • Cooley LLP
  • -
  • USA
  • -
  • July 10 2014

According to former SEC chief accountant Lynn Turner, "the auditor's report is based on a model that 'has not changed significantly since the last

SEC charges auditor of PRC firm with unprofessional conduct

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 9 2014

The Commission filed another proceeding against an audit firm and its partners arising out of the audit of a PRC issuer. Unlike earlier actions