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Article

Schulte Roth & Zabel LLP | USA | 2 Jun 2011

SEC whistleblower rules encourage but do not require internal reporting

A month after their scheduled release date, the Securities and Exchange Commission ("SEC") voted 3-2 to adopt final rules implementing the hotly-debated whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act").

Article

Schulte Roth & Zabel LLP | USA | 12 Nov 2010

SEC proposes whistleblower program rules

On November 3, 2010, the Securities and Exchange Commission ("SEC") proposed widely anticipated rules that would implement the whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank").

Article

Schulte Roth & Zabel LLP | USA | 27 Oct 2010

New York’s highest court rejects liability for third-party professionals who allegedly assist corporate officers’ alleged fraud

In an important decision last week, the New York Court of Appeals reaffirmed limits on the ability of corporations and those who sue on their behalf (such as bankruptcy trustees and derivative plaintiffs) to bring claims against professional advisors, including auditors and law firms, for allegedly assisting or failing to detect wrongdoing by the corporation's own management.

Article

Schulte Roth & Zabel LLP | USA | 3 Aug 2010

PCAOB proposes new confirmation standard to reduce risk of financial statement inaccuracy

The Public Company Accounting Oversight Board ("PCAOB") has proposed a new standard designed to strengthen requirements for audit confirmations - that is, direct auditor communication with third parties about particular items affecting the audit client's financial statements.

Article

Schulte Roth & Zabel LLP | USA | 28 Jan 2010

SEC approves new standard for concurring reviews

The U.S. Securities and Exchange Commission (“SEC”) recently approved a new standard proposed by the Public Company Accounting Oversight Board (the “PCAOB”) for concurring or engagement quality review (“EQR”) of financial information in audits and interim financial reviews for public companies.

Article

Schulte Roth & Zabel LLP | USA | 8 Dec 2009

PCAOB strategic goals and budget foreshadow tougher enforcement agenda

As attention focuses on this week’s oral argument at the Supreme Court concerning the constitutionality of the Public Company Accounting Oversight Board ("PCAOB" or the "Board"), the PCAOB recently approved a five-year strategic plan and a 2010 budget (subject to approval by the SEC).

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