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SEC annual conference highlights 2014 accomplishments and promises to turn up the heat in 2015

USA - March 10 2015 With Chair Mary Jo White in her second year at the helm, the Securities and Exchange Commission showcased its efforts, improvements, and enforcement...

Randall J. Fons, Brian Neil Hoffman, Daniel A. Nathan.

SEC and PCAOB combine their focusses on broker-dealer audits and independence in settlements with fifteen audit firms

USA - December 15 2014 On December 8, 2014, the Securities and Exchange Commission (SEC) and Public Company Accounting Oversight Board (PCAOB) announced settlements with...

Daniel A. Nathan.

SEC charges broker-dealer for failure to protect against insider trading by employees

USA - September 30 2014 The Securities and Exchange Commission for the first time brought charges against a broker-dealer for failure to adequately protect against insider...

Daniel A. Nathan.

PCAOB again finds broker-dealer audit deficiencies. Observation: experience is the best indicator for choosing an audit firm

USA - September 10 2014 For the third year in a row, the Public Company Accounting Oversight Board (PCAOB) has found shortcomings in the audits of broker-dealers, a trend...

PCAOB issues guidance to auditors of broker-dealers

USA - July 14 2014 On June 24, 2014, the Public Company Accounting Oversight Board (PCAOB) released staff guidance to help auditors of brokers and dealers registered...