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SEC Approves New PCAOB Standard

USA - November 6 2017 Recently, the SEC approved the PCAOB’s new auditor reporting standard, AS 3101, The Auditor’s Report on an Audit of Financial Statements When the...

Jessica Morrison.

Debt Collector Defined: Supreme Court Exempts Debt Purchasers

USA - June 19 2017 On behalf of a unanimous Supreme Court, Justice Neil Gorsuch delivered his first opinion on June 12 to determine whether debt purchasers fall within...

Jodie Herrmann Lawson.

U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Orders

USA - June 6 2017 A unanimous United States Supreme Court held Monday, in Kokesh v. Securities and Exchange Commission, that the five-year statute of limitations under...

Louis D. Greenstein.

SEC Annual Exam Guidance: Cybersecurity, Robo-Advising, and Retirement

USA - January 27 2017 The SEC recently announced its Office of Compliance Inspections and Examinations' (OCIE) 2017 priorities. Though these listed priorities are not...

Nicholas B. Lewis.

DOJ’s First Corporate Enforcement Action Under Pilot Program

USA - July 5 2016 In April 2016, the Department of Justice (DOJ) announced its Foreign Corrupt Practices Act Enforcement Plan and Guidance, which includes a one-year...